Compliance Officer
at Robert Half International UK

Date Posted: 10/01/2020

Job Description

Ref ID:  06030-0011215565

 

Robert Half Financial Services are working with an Asset Management firm based in Central London, helping them find a Compliance Officer on a temp-to-perm basis.

The successful candidate should be experienced working in a buy-side environment and be competent doing a broad role covering all elements of compliance.

Role

As Compliance Officer, you shall we supporting the Compliance Manager, assisting with all elements of Compliance for the Real Estate Investment business. This includes:

  • Maintain all compliance documents in relation to the firm's AIFMD business including the compliance manual
  • Prepare an AIFM report on a quarterly basis to be presented to the independent fund board
  • Oversee FCA notifications required under the Fund's Dealing Code
  • Required to perform compliance monitoring reviews specific to the UCITS funds i.e. best execution, EMIR reporting, MAR monitoring,
  • Required to assist with drafting and reviewing changes to compliance procedures as appropriate.
  • Responsible for checking financial promotions and other publications / communications originating from the marketing team to ensure they are compliant with the appropriate FCA regulations (as required) and company policies.
  • Assist with regulatory project work such as MiFID II/MiFIR implementation, the Senior Managers & Certification Regime, Solvency II, PRIIPS etc.
  • Input to the CRM and maintain documents required for compliance such as prospectus, DDQ and presentations.

Profile

Must have a minimum of 3 years experience in a similar role within an Asset Management firm.

Company

This Investment firm focuses on Real Estate investments. The business structure has 2 main arms, the AIFMD business, where the firm is acting as the AIFM to an AIM listed property fund, the firm's discretionary asset management business, where the firm is acting as Investment Manager to an Irish UCITS.

Salary & Benefits

£50,000 to £55,000 plus benefits.

Flexible working available.

The salary range/rates of pay is dependent upon your experience, qualifications or training.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information: www.roberthalf.co.uk/privacy-notice.

Job Snapshot

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