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Assistant Manager, Compliance

Hays Financial Markets
London, UK
Closing date
29 Jan 2021

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Job Details

Investment entity of one of the largest occupational pension schemes seeks an ambitious compliance generalist with trade surveillance skills to join its small Risk & Compliance team. Reporting into the team's head, the incumbent will support the development of a strong team profile to ensure it maintains effective working relationships across the business. This is a generalist position requiring the job holder to conduct market abuse monitoring and best execution, review e-communication alerts, manage the approval process gifts & entertainment and PA dealing, assist with the completion of desk-based periodic and thematic compliance reviews, perform AML/KYC sanctions checking and support the provision of proactive regulatory advice to the business. Candidates are sought with at least three years generalist FCA compliance experience, encompassing trade surveillance as a necessity. This is an excellent opportunity in a flat structured organisation to increase your exposure to senior management and play an instrumental role in the team.

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