• 15 May 2008
• Reference: JR198232

• Assistant to Chief Compliance Officer Asset Management

• City of London Dependent on experience Permanent

Assistant to Chief Compliance Officer - Asset Management

Docklands

198232

£Highly Attractive & Car Allowance

The Compliance Manager will work within a 4 person team operating in a successful Asset Management firm. The role offers excellent exposure to someone looking to develop their career further in an asset management based compliance role. The jobholder has responsibility for assisting the Chief Compliance Officer in managing compliance projects as well as for managing day to day compliance monitoring activities carried out within the business.

Principal duties and responsibilities

·Acting as advisor to the business to identify and manage regulatory risks in respect of both the existing business and planned strategic or operational changes
·Analysing issues and key compliance MI and reporting thereon to senior management and working with the business to strengthen controls and reduce errors and breaches.
·Keeping the business appraised of regulatory developments and industry best practice in consultation with the Regulatory Developments team in Corporate Compliance.
·Contributing to the development of and executing on day to day compliance monitoring activities carried out within the business
·Development of compliance related policies and procedures applicable to the business unit, as needed.
·Contributing to the technical development of the compliance team itself by leveraging prior experience to raise the skill and calibre of the team as a whole.
·Promoting a positive compliance culture through communication and oversight of regulatory responsibilities at all levels.
·Involved in discussions with the regulators at supervisory visits.
·Ensuring the timely and accurate filing of required regulatory returns, including financial reports and complaints statistics.
·Coordinates liaison with other heads of department to achieve business objectives
·Active participation in industry forums and the FSA's consultation process, if appropriate.
·Understand the FSA risk based approach and provide support as necessary for FSA, SEC and/or Federal Reserve Bank examinations.


Competencies/qualifications

·University graduate or some relevant qualification (law, accounting, company secretarial)
·Proven experience in the monitoring of asset management business
·Detailed knowledge of FSA Handbook essential
·Knowledge of asset management products, monitoring, as well as understanding of AML regulations is key to this position as is team fit.
·Analytical ability to identify and understand problems as well as to provide effective solutions.
·Strong time management skills, the ability to balance on-going job requirements with ad-hoc projects, and a flexible approach to adapting job responsibilities in a fast-changing business environment
·Highly motivated individual who has a proven record of using initiative to resolve problems
·Excellent written and oral communication skills
·Attention to detail
·Confidence and expertise to advise management and the business
·Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
·Ability to work well as part of a team
·Good organizational and analytical skills
·Desire to stay in front of new business/regulatory developments
·Must be able to represent the firm to external regulators and other parties in a professional manner

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Keywords related to this job

• Compliance,
• Compliance Officers / Analysis,
• City of London,
• Permanent,
• Asset Servicing / Global Custody,
• Compliance