*Keep the business abreast of all regulatory changes and developments for their specific areas.
*Ensure business individuals, including front office and infrastructure understand their regulatory duties and the implications of what they do.
*Compliance oversight of product, distribution and new projects.
*Compliance training and making sure all individuals are up to date with relevant regulatory knowledge.
*Working very closely with senior management and all areas of asset management.
*Thorough understanding of relevant FSA regulations with a particular familiarisation with investment and regulatory issues in the UK
*Maintain records across areas such as PA dealing, gifts and benefits, conflicts of interest,
*Assist the Head of Risk and Compliance with FSA and regulatory related visits.
A more detailed spec is available, along with company brief. Please apply for full details.
*At least 5 years asset / investment management compliance experience
*Retails investment management experience.
*Strong advisory / regulatory change experience
*Strong handbook knowledge – COBS COLL (UCITS) CASS
*Versatile and pro active approach, with a strong personality.
*£60k-£80k with great benefits – Salary is of course dependant on experience.
Please apply to arrange a meeting.