Compliance - Asset Management £60 - 80k pro rata FTC

Carnegie Consulting Ltd
Central London, UK
19 Jun 2019
27 Jun 2019
Contract Type
Full Time
This role will report directly into the experienced Head of Compliance, supporting the firm through a period of unprecedented regulatory change.

The chosen individual will be technically strong with a good understanding of FCA rules especially MIFID II and SMCR.

The role will include but not be limited to:
  • Aiding in the build-out and delivery of a refreshed Compliance programme, including reviewing policies and procedures, the Compliance Handbook, and ongoing monitoring
  • Supporting both the Head of Risk and Compliance and the Head of HR with the roll-out of SMCR, including advising on the FCA framework, preparing Statement of Responsibilities, supporting on handover documents, preparing regulated references etc, Fitness & Propriety checks etc
  • Providing advice, guidance and training to BAPIML employees on compliance matters;
  • Ad-hoc Regulatory and Strategic projects as they arise.

The Candidate
  • Substantial compliance experience, preferably within the buy-side environment, with solid knowledge and understanding of SMCR and its practical application;
  • Experience in delivering compliance, regulatory and strategic change projects
  • Ability to work with different functions and influence senior management
  • Educated to degree level with a relevant compliance or financial services qualification;
  • Effective communication skills and the ability to present complex information to various groups;
  • Ability to think analytically and solve problems independently, knowing when to escalate or seek input as appropriate.

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