Compliance Officer

CLD Recruitment
29 Mar 2018
13 May 2018
Contract Type
Full Time
Compliance Officer, up to £27,000 per annum - Leeds!

My client is a well-known asset managers within the financial services industry who seek a compliance policy associate to join their small team to manage the overall compliance of products, services and operational processes. You will be responsible for maintaining documentation, liaising between internal stakeholders to ensure that all documents are up to date and compliant with regulations.

Hours of work will be 9am to 5.30pm, Monday to Friday. Salary will be negotiable up to £27,000 with funded qualifications available to you as part of your package.

Duties Include: -

Review and maintain collective investment scheme (CIS) documentation
Ensure that all documents are up-to-date and compliant
Assist with the liaison with relevant trustees or depositaries and the FCA on changes to documents
Put together the Fund Solutions monthly report and other reports following approval and sign-off by senior management
Review full compliance processes and work closely with the controls and assurance team to oversee any needs for changes to the compliance structure

Skills & Experience Required

An ideal applicant for this role will have exposure to fund management / administration compliance however this is not essential should you be able to demonstrate a compliance background within regulated services. You must have GCSE Maths & English C+ as minimum qualifications. Quality Assurance, Compliance, AML and other financially regulated risk roles are also considered.

Quality, Compliance, Risk, FCA, AML, Investment, Asset Management, Fund Administration, Fund Accounting

CLD Recruitment (Leeds) Ltd is acting as an Employment Agency in relation to this vacancy. CLD Recruitment (Leeds) Ltd is an Equal Opportunities employer; we welcome applicants from all backgrounds.
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