Compliance Officer

• Company

  Paragon Executive

• Location

  UK-London

• Remuneration

  Excellent Package & Benefits

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  21-May-2013

• eFC Ref no

  1147441

Responsibilities:

• responsibility for the compliance in our MIFID firms engaged in long only investment management; 
• Ensure all local regulatory obligations are fulfilled through the implementation and maintenance of a robust compliance monitoring plan including compliance risk assessments;
• Advise, monitor and where necessary educate the business on the practicalities of implementing and maintaining compliance processes, procedures and actions;
• Review and enhance compliance policies and procedures to reflect current regulatory requirements in the UK;
• Provide Investment compliance monitoring (both pre and post trade), reporting, and support, working closely in line with global colleagues;
• Keep abreast of key regulatory and legislative changes which may impact the business and determine with the legal department the necessary course of action;
• Assess and advise on the implication of new business developments;
• Contribute to regular, timely and relevant reporting to the Board, other committees and forums;

Qualifications/ Experience

• 6 years+ compliance experience in the financial services or investment banking industry;
• Relevant qualification(s) in areas such as accounting, business, risk or compliance;
• Working knowledge of UK and EU legislation;
• Exposure to and appreciation of the issues in the management of UCITS and other fund structures;
• Familiarity with compliance monitoring systems including pre and post trade monitoring;

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