IQ Talent Solutions are delighted to be working with one of our key asset management clients, supporting them with the recruitment of a Compliance Officer for a period of 12 months paying a competitive day rate (available on request). This is to join the team in their prestigious London office with the option to work from home 50% of the time.
You will support the compliance function deliver and report on its monitoring and surveillance plans in a timely manner and with an appropriate risk based focus. You will identify findings that will strengthen the businesses control environment and provide suitable assurance to senior management on the strength of the regulatory control framework.
What is expected of the Compliance Officer?
- Undertaking monitoring reviews, ensuring they are completed in a timely manner and are focused on the key risks within a regulatory topic and the tests are suitably designed to identify the key issues.
- Performing surveillance testing over assigned areas and trading desks including best execution, fair allocation, cross trading, conflicts of interest, recordkeeping, short selling and conduct related matters.
- Ensuring that any actions arising from any monitoring review or surveillance test are well defined and proportionate to the risk they are seeking to mitigate and are communicated/presented in a thoughtful risk-adjusted manner which is appropriate for the audience. Retain oversight and work alongside the business to ensure that they are completed as designed and on a timely basis.
- Constantly consider and, where possible, provide innovative ideas on how to improve the monitoring and surveillance programmes.
- Participation in general team wide initiatives as required.
What we look for in a Compliance Officer?
- Familiarity with how a buy-side, agency Asset Management company operates.
- The candidate should be able to adapt quickly to core compliance and trading systems and proactively identify and propose solutions to issues arising.
- The candidate should have good analytical skills, capable of thinking logically, using initiative and systematically able to resolve problems.
- The candidate should have an advanced knowledge of Microsoft Word, Power Point and Excel and the ability to build reports to enable the extraction and analysis of data sets.
- Able to develop a sound understanding of our clients compliance programme, governance structure, business divisions, business strategy and key product capabilities. The candidate should also develop a reasonable understanding of the regulatory environments in which our client operates.
- Strong verbal and written communication skills.
- Able to provide challenge to both existing processes and controls across the business and be proactive, self-supportive and motivated in the promotion of a positive compliance and risk culture within the firm.
- Detail oriented, collaborative, able to prioritise
- Able to work independently and exercise own professional judgement for final ratification.
- A minimum of 2 years of experience of Compliance Monitoring/Surveillance in an Asset Management firm.
What the Compliance Officer will receive?
- Highly competitive day rate
- Prestigious location
- Work from home options
- Excellent brand to add to your portfolio
- 12 month contract
InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.