Senior Compliance Consultant - £60K Job Details
Salary:
£55,000 - £60,000 per Year
Post Date: 07/12/2011
Job Description: Senior Compliance Executive - Investment Banking - Henley £60K + Fantastic Package
A leading Investment Management house is currently seeking to hire a Compliance professional to join their Monitoring team in Henley. With a background in financial services and an in-depth understanding of the UK and overseas fund industry and a direct understanding of FSA rules you will have worked in a compliance/regulatory role previously.
Responsible for providing support and advice to the business on sound business practice and regulatory rules and principles
Job Description
* Approving financial promotions
* Providing compliance advice and support to the business and management
* Managing the production of monthly compliance reports to senior management in the UK, Europe and non-US
* Examining rule changes and discussing implications for the business with Senior Compliance Executives and the Director of European Compliance
* Providing compliance/regulatory input into monitoring programmes
* Undertaking ad hoc reviews and projects as determined by the Team Manager and the Director of European Compliance
* Assisting and supporting the Team Manager and Director of European Compliance
Skills Required for role
* An accounting/audit or financial services background
* Significant experience in the review of financial promotions
* Experience and exposure to operational risk management procedures and processes
* Experience of the financial promotion regime in the UK, Continental Europe, Middle East. As well as some experience in the US and Asia
* Detailed knowledge of UCITS funds, Investment Trusts, ETF's, ISA's, alternatives, complex instructions and private placement regimes
* A detailed understanding of the FSA conduct of business rules
* A good understanding of the technical nature of the business and of marketing activities in the financial services sector
* Graduate
* A professional qualification is desirable but not essential
* Effective time management skills
* Excellent interpersonal skills
* Highly organise
* Ability to work under pressure
* Excellent team player
This is a fantastic opportunity for an experience Compliance expert to join a market leading investment house.
Company Name: Timothy James Consulting Ltd
Post Date: 07/12/2011
Job Description: Senior Compliance Executive - Investment Banking - Henley £60K + Fantastic Package
A leading Investment Management house is currently seeking to hire a Compliance professional to join their Monitoring team in Henley. With a background in financial services and an in-depth understanding of the UK and overseas fund industry and a direct understanding of FSA rules you will have worked in a compliance/regulatory role previously.
Responsible for providing support and advice to the business on sound business practice and regulatory rules and principles
Job Description
* Approving financial promotions
* Providing compliance advice and support to the business and management
* Managing the production of monthly compliance reports to senior management in the UK, Europe and non-US
* Examining rule changes and discussing implications for the business with Senior Compliance Executives and the Director of European Compliance
* Providing compliance/regulatory input into monitoring programmes
* Undertaking ad hoc reviews and projects as determined by the Team Manager and the Director of European Compliance
* Assisting and supporting the Team Manager and Director of European Compliance
Skills Required for role
* An accounting/audit or financial services background
* Significant experience in the review of financial promotions
* Experience and exposure to operational risk management procedures and processes
* Experience of the financial promotion regime in the UK, Continental Europe, Middle East. As well as some experience in the US and Asia
* Detailed knowledge of UCITS funds, Investment Trusts, ETF's, ISA's, alternatives, complex instructions and private placement regimes
* A detailed understanding of the FSA conduct of business rules
* A good understanding of the technical nature of the business and of marketing activities in the financial services sector
* Graduate
* A professional qualification is desirable but not essential
* Effective time management skills
* Excellent interpersonal skills
* Highly organise
* Ability to work under pressure
* Excellent team player
This is a fantastic opportunity for an experience Compliance expert to join a market leading investment house.
Company Name: Timothy James Consulting Ltd
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