Compliance Officer

Hudson IT
United Kingdom
£60k - £75k pa
05 Oct 2017
06 Nov 2017
Contract Type
Full Time
Compliance Officer required by global investment bank to provide business line compliance advisory support to the businesses within Asset Management with particular focus on the active and trading and portfolio development businesses that include Fixed Income and Emerging Markets Equities. Key Responsibilities: * Reviewing AM specific marketing material and client communications for compliance with regulatory requirements in addition to the Bank's policies and standards for communications and marketing material * Evaluating and advising upon unusual transactions to protect the Bank against the facilitation of regulatory and reputational risks * Ensuring that any sensitive issues are escalated to the appropriate channels with your sound analysis and recommendations * Providing guidance to the AM businesses on compliance, regulatory and reputational risks related to products, trading and other applicable subjects relevant to compliance risk management * Maintaining current expertise in the regulatory environment and key developments and providing support in advising the AM businesses and Compliance colleagues globally on applicable regulatory developments * Participating in regular fora such as the Common Practice Groups * Participating in the "Compliance Policy Committee" and contributing to the review and update of AM policies and procedures ensuring they reflect regulatory changes * Performing some Compliance Monitoring / Surveillance testing where applicable for the AM businesses as part of the Bank's Second Level Controls Essential Skills & Qualifications: * Background as a Compliance Officer, with strong experience in Fund Management Compliance from an investment or private Bank, or asset, private equity or hedge fund management perspective * Relevant experience in providing advice on compliance and regulatory risk matters through unregulated funds and other investment structures, preferably in the AM arena * Educated to Bachelor's degree level (or equivalent qualification / work experience) * Fluent in English (spoken and written) * Proficient in Microsoft Office Please note you will receive an automated response advising you that we have received your CV. Hudson is a leading provider of permanent recruitment, contract professionals and talent management solutions worldwide. We are committed to ensuring that all job applicants are treated equally, without discrimination because of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.
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