MERJE are working exclusively with a well known Asset Manager as they looking to bring a new compliance officer into their team in London.

Ensuring the company adheres to the wide ranging regulatory requirements pertinent to the sector they operate in, you will take on a fairly broad range of responsibilities including:

• Completion of the agreed compliance monitoring programme in a timely and effective manner
• Review of marketing materials
• Assisting with day-to-day ad-hoc queries received from the business.
• Helping undertake monitoring of investment guidelines and restrictions and best execution requirements
• Maintaining incidents log, complaints and other compliance registers, personal account dealing records, regulatory disclosures, restricted lists and various regulatory reports
• Supporting and participating in the Compliance department’s global initiatives and projects

You will:

• Have a relevant Compliance background with the asset or investment management sectors.
• 2-3 years broad based regulatory experience
• Experience in coding and reviewing investment guidelines and restrictions would be a massive plus
• Operate effectively in a professional environment,

Great opportunity to join a highly reputable organisation and working alongside some exceptionally credible individuals.

Please only apply if you have genuinely had at least 2-3 years of Compliance/Regulatory experience (NOT AML) within an Asset Management environment.