Compliance Manager (Investments)

Recruiter
JCW Search Ltd
Location
London (Greater)
Posted
11 May 2018
Closes
18 May 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Providing a technical helpdesk function to the firm and its clients · Undertaking a range of projects as requested by senior management · Providing detailed audit reports and making recommendations to the clients of any areas requiring attention · Undertaking Training and Competence visits to clients · Conducting client file reviews · Assisting with the development of compliance policies and procedures · Referral point for junior colleagues · Identifying and recommending technical skills training where judged appropriate by you · Maintaining an up to date knowledge and understanding of regulatory policies, including, Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence and the other areas applicable to MiFID firms · This role is not limited to the above duties, due to the nature of the market you will need to be adaptable and open to change in this position

· Relevant Financial services background and experience essential · Certificate/s in financial investments such as the CISI IOC or equivalent qualification beneficial · Diploma/s in financial investments such as the CISI IAD, PCIAM or equivalent or working towards qualification beneficial · Diploma in Investment Compliance, equivalent or working towards qualification · Educational attainment at degree level useful but not essential

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