This job has expired

Compliance Monitoring - Asset Management

Employer
Danos Consulting
Location
UK
Salary
Competitive
Closing date
9 Aug 2021

View more

Sector
Accountancy
Contract Type
Permanent
You need to sign in or create an account to save a job.

Job Details

The role will be mainly focusing on Compliance Monitoring, actively taking part in the formulation of an annual Compliance plan. Conduct the Compliance Monitoring programme covering the Firm's regulated business including, but not limited to:
  • Monitoring of portfolio management and trading activities
  • Monitoring of marketing & sales activities and distributors
  • Conducting reviews on the Market Abuse controls
  • Conflict of interest management
  • Compliance induction training
  • Approving personal trades, gifts and entertainment, external interest requests
  • Maintain awareness of regulatory/compliance developments
  • Working with business areas on the firms SMCR framework.

Please apply if you are interested in the role or reach out to Bradley Handelaar at Danos Consulting for more details.
You need to sign in or create an account to save a job.

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

Create alert