As a Compliance Executive, you will play a crucial role in ensuring their operations adhere to regulatory requirements and internal policies. You will be responsible for monitoring and managing compliance risks, providing advice and guidance on regulatory matters, and promoting a culture of compliance within the organisation.
Client Details
Join a leading asset management company located in the heart of London. They pride themselves on providing exceptional investment solutions to a diverse range of clients. Their commitment to excellence, integrity, and innovation drives their success, and they are looking for a dynamic Compliance Executive to join their team and help them uphold these values.
Description
- Monitor and assess the company's compliance with regulatory requirements, including FCA regulations.
- Develop and implement compliance policies and procedures.
- Conduct regular compliance audits and risk assessments.
- Provide training and support to staff on compliance-related matters.
- Prepare and submit regulatory reports to relevant authorities.
- Liaise with regulatory bodies and maintain up-to-date knowledge of regulatory changes.
- Investigate and resolve compliance issues and breaches.
- Advise on compliance implications of new business initiatives.
Profile
- Bachelor's degree in finance, law, or a related field.
- Minimum of 1 years' experience in a compliance role within the financial services sector, preferably in asset management.
- Strong knowledge of FCA regulations and other relevant regulatory frameworks.
- Excellent analytical and problem-solving skills.
- Strong attention to detail and ability to work independently.
- Excellent communication and interpersonal skills.
- Proficient in Microsoft Office Suite.
Job Offer
- Competitive salary and benefits package.
- Easily accessible via public transport.
- Hybrid working environment with flexible working hours.
- Opportunities for professional development and career progression.
- Collaborative and supportive team culture.
- Prime London office location.