• 4 September 2008
• Reference: JR204509

• Compliance Officer

• City of London Competitive Permanent
• Benefits: competitive

A Compliance Officer is sought by a leading specialist investment management company. Based in London, the position is for a highly experienced compliance professional to work within the Assurance department.

Operating within the company's assurance framework (internal audit, operational risk and compliance) the jobholder will provide compliance advice and ongoing monitoring covering the firm's full range of products and services, but with an emphasis on the fund management business.

This is a senior role within an established compliance team. It requires liaison with staff at all levels, including a close association with the audit and risk functions.

Main duties and overall responsibilities will be to ensure the completion of monitoring reviews across all areas of the business in accordance with an agreed monitoring plan. This involves carrying out reviews personally and assisting in the supervision of one member of support staff.

Solid compliance experience in an investment management environment is required for this role. A comprehensive knowledge of relevant regulatory standards and understanding of T&C and AML rules is essential. The ideal candidate will demonstrate working knowledge of investment management industry standards and regulations.

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Keywords related to this job

• Compliance,
• Monitoring / Surveillance / Testing,
• City of London,
• Permanent,
• Asset/ Investment Management,
• investment management,
• compliance,
• AML,
• audit,
• monitoring