Save Job Back to Search Job Description Summary Similar JobsGrowing Investment Management firm with excellent opportunities for progressionGeneralist role within a growing Compliance teamAbout Our ClientOur client is a well-established Investment Management firm with offices based in the West End of LondonJob DescriptionOngoing review and enhancement to the Compliance Monitoring Program, controls and monitoring and working with management and desk heads on controls.Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.Review of financial promotions in line with FCA COBS rules and other jurisdictions where funds are registered (EU, US and globally)Trade oversight, market abuse monitoring, and long/short disclosures internationally.Ensure that policies, procedures and standards of conduct are updated in line with regulatory changes, communicated, understood and appropriately implemented within the office; deliver training as requiredDevelop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as requiredMonitor changes to U.K. and global legislation and rules affecting the firm's business and advise management and staff of the implications of these changesCoordinate and participate in any regulatory examinations as neededConduct review and approve KYC files for accuracy and completeness of KYC documentationMaintain records of personal dealing and gifts and entertainment requests and conflicts of interestAssist in the preparation of regulatory reporting returns to the FCA within set timeframesThe Successful ApplicantThe Compliance Executive should have:2 years' experience within the investment management industry (or similar) in a compliance role.Self-starter with strong execution focus and ability to work independently as well as part of a teamGood business acumen to identify and connect compliance risks across the organisationHigh level of attention to detail.Good organisational and communication skills (both written and verbal)What's on OfferAn estimated salary range of £45,000 - £55000,000, depending on experienceA comprehensive benefits package, including pension and health benefitsA supportive and collaborative company cultureOpportunities for professional growth within the financial services industryAn exciting role based in the vibrant West End of LondonWe invite you to apply if you have a passion for compliance and want to make a significant impact in the financial services industryContactKaren O'NeillQuote job refJN-032025-6707350Phone number+44 207 645 1432Job summaryJob functionComplianceSubsectorCompliance GeneralistSectorFinancial ServicesLocationCity of LondonContract typePermanentConsultant nameKaren O'NeillConsultant phone+44 207 645 1432Job referenceJN-032025-6707350
