compliance officer London, England
Job description
Do you believe variety is the spice of life?
Are you looking for a role where every day is different and you’re constantly finding new challenges?
That’s what’s on offer here.
You’ll be working for an established, highly successful Compliance Consultancy that provides expert compliance advice and support across the Financial Services arena. You’ll join the Investments team and use the knowledge and experience you’ve already accumulated to assist in the delivery of projects and regulatory solutions for MiFID and AIFMD clients across London (almost always virtually).
You may be assisting with FCA authorisation processes or changes in permissions or ownership, reviewing financial promotions, conducting file reviews, assisting with the development of Compliance policies and procedures or simply providing Compliance advice and support to clients.
These roles are highly varied, and you’ll get great exposure to a wide variety of businesses at all stages of development. All of which will help you take your career on to the next level.
You’ll already have gained broad Compliance experience within an investment firm (Private Equity, Fund Management, Investment Management, Wealth Management, CFD Brokerages, Trader Brokers, etc.) and will have a good working knowledge of FCA regulatory rules for MiFID and/or AIFMD firms.
Any previous consultancy experience would be advantageous but is not essential.
You’ll ideally have experience of the likes of Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and/or Training & Competence and will
possess excellent communication skills, both written and verbal.
Interested?
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at [email protected]. We’ll pick it up from there.
