• 6 August 2008
• Reference: JR203791

• Asset Servicing Compliance Consultant

• City of London Competitive Permanent

SUMMARY OF POSITION

Our client is a market leading global organisation

*Assist in the day to day functioning of Asset Servicing Compliance Team, with particular focus on the Transfer Agency services
*Provision of a "consultancy" type compliance service offering pro-active advice on regulatory issues and formal training
*Regular liaison with and/or reporting to Fund Management Companies, Trustees and Client Compliance Departments.
*Undertake compliance monitoring and testing, report findings and monitor to resolution any issues identified.
*Input and involvement with other activities.


CORE ACTIVITES

1.Support senior members of the department in the identification, planning and execution of the Department's activities.
2.Responsible for completing compliance testing and monitoring with particular focus on the retail fund administration services requiring the production of timely, accurate and high quality reports.
3.Keeping up to date with regulatory developments generally, but with specific focus on those impacting the fund administration industry. Take responsibility for communicating changes to the business and testing for subsequent compliance.
4.Liaison with and reporting to clients on monitoring/testing findings and communicating approach to regulatory developments. Assist with on-site client visits.
5.Assist in the provision of staff training on compliance related matters.
6.Be familiar with FSA risk based approach and provide support for FSA
7.Assist Management in developing department Key Performance Indicators and analyzing Management Information for Monitoring purposes.


SKILLS/COMPETENCIES REQUIRED

Highly motivated individual who wishes to develop their skills and knowledge within a progressive compliance role
Minimum 3 years of related experience in a Fund Administration/Transfer Agency environment. Good knowledge of following FSA rulebooks required (COLL/CASS/COBS).
Desire to stay in front of new business/regulatory developments
Educated to graduate (or equivalent) level - accounting or compliance qualification is desirable
Excellent written and oral communication skills
Good organisational and analytical skills
Proficiency in PC software essential (Access, Word, Excel, PowerPoint)

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Keywords related to this job

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