Our client, a global alternative investment manager, is seeking a Compliance Officer to join its Investment Compliance team in London.
Key responsibilities for this position will include, but are not limited to:
Ability to provide guidance to the firm’s investment functions on the proper interpretation and application of regulatory requirements.
Wall-crossings and market soundings that relate to the treatment of inside information and market abuse;
UCITS and AIF investment and borrowing powers;
Investment-related conflicts of interest management
Expert network review and approval.
Detailed analysis and application of new regulatory requirements that impact the firm’s investment activities.
Assisting Compliance Manager in ad hoc projects.
Executing any regulatory developments impacting the firm’s investment functions.
Intermittent presentations to investment professionals to ensure that they remain up to date on regulatory developments
Providing thematic training to the firm’s investment functions.
In addition, all members of the team are involved in the following:
Maintaining, updating and executing the compliance policies and procedures manual;
Assisting the business in the development and maintenance of robust control procedures;
Making sure that issues identified by compliance monitoring reviews are addressed, and that controls are implemented to reduce the risk of reoccurrence.
Representing Compliance in relation to fund and product launches.
3-5 years experience within Compliance, preferably with a focus on investment compliance.
For more information about this position, please get in touch with Tevia Kretzmer
Phone: 020 3778 0852
Reference Code: 11548
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