Compliance Executive

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Permanent Compliance position with a growing boutique asset manager Exciting progression, culture, development and benefits About Our Client The financial services client based in the City of London is a specialist active investment management company offering professional and institutional investors a range of fundamentally research-driven funds diversified by asset class, geography and sector specialisation. Job Description The main duties for the Compliance Executive position are as follows: Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team. Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the office; deliver training as required Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as required Monitor changes to U.K. legislation and rules affecting the firm's business and advise management and staff of the implications of these changes Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation Coordinate and participate in any regulatory examinations as needed Conduct review and approve KYC files for accuracy and completeness of KYC documentation Assist and undertake compliance monitoring, audits and risk assessments. Assist the Head of Compliance in maintaining Compliance policies and procedures. Assist in Compliance training for new starters Maintain records of personal dealing and gifts, benefits and entertainment requests and conflicts of interest Assist in the preparation of regulatory reporting returns to the FCA within set timeframes Assist in preparation of the risk monitoring reports. The Successful Applicant The pre-requisites for the Compliance Executive are: Prior experience within the investment management industry in a compliance role or similar sector/role is strongly desirable. Up to 18 months experience within Investment Management/Asset management in compliance Generalist background across several areas of Compliance What's on Offer Competitive salary (£25,000-£35,000) depending on experience Full benefits package (25 days holiday, 10% non-contributory pension, gym membership, cycle to work scheme, season ticket loan, ski trips) Discretionary bonus (based on personal performance) Page Personnel is part of PageGroup. Page Personnel is a trading name of Michael Page International Recruitment Limited. Registered in England No. 04130921 Registered Office: Page House, 1 Dashwood Lang Road , Addlestone , Weybridge , KT15 2QW

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