Compliance Specialist - Investment Funds

AC Financial Recruitment
11 Mar 2017
10 Apr 2017
Contract Type
Full Time

Our client is a specialist investment company which manages a range of OEIC funds via the adviser network. They have an interesting new opportunity for a funds industry specialist with at least 5 years' experience to join as Risk & Compliance Officer. Working in a small compliance team, you will monitor compliance with FCA regulations such as SYSC, COLL, COBS & CASS, reporting breaches through to resolution. You will oversee regulation issues relating to the TPA provider and act as a internal source of compliance advice for all investment fund activities. You will undertake monitoring activities, preparing regular compliance monitoring reports.

The successful candidate will have a solid background in investment funds and platforms, with a competent knowledge of the regulatory environment for an asset management operation. You will have strong report writing skills and the ability to communicate effectively with stakeholders.

The role would suit an established compliance officer or a fund operations / oversight specialist keen to train into the role.