- Management and completion of sign off of Financial Promotions.
- Review of issues and errors forms in conjunction with the risk team
- Coordination of updates of relevant Compliance policies and registers of the firm in coordination with the Compliance Officer and relevant business unit.
- Deal with BAU technical queries from the business on regulatory requirements in respect to the regulated activities of the business, both UK & US
- Undertake monitoring reviews in accordance with the Compliance Programme as required.
- Completion of ongoing surveillance monitoring as required.
- Tracking of actions points and recommendations to ensure timely implementation.
You should have Compliance experience of Financial Promotions and either experience of working with Alternative Investment Funds (AIFs) or be willing to learn. Great chance to develop your skills in both advisory & monitoring work from very experienced managers and pick up US regulatory knowledge too. NB the role is WFH although occasionally you may be required to attend a face to face meeting in the City of London and/or if you want to work in the office, then desk space is available.
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at firstname.lastname@example.org (including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.