Compliance Generalist - Taylor Root

 
Reference
JW1064860
Salary
Negotiable
Professional Title
Solicitor
PQE Guide
Any - Any
Areas of Practice
Compliance
Financial Services
Locations
London Only

Office Locations

 


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Job Description

My client is a FTSE 250 alternative investment management firm based in the City. My client is looking for a UCITS compliance monitoring specialist for a maternity cover. The main responsibility of the role will be to manage the day-to-day running of the compliance monitoring plan for their UCITS platform. This position sits within the main compliance team and report directly to the Global Head of Compliance in London.

You will have a range of responsibilities including:

* Responsible for Financial Promotions Approvals
* Support the monitoring of UCITS breaches
* Investigating complaints and taking appropriate action
* Oversight of substantial compliance training across the business
* Providing guidance on regulatory frameworks and working alongside the business to manage compliance risks

- Compiling regular reports in respect to regulation changes and their impact on the business

The ideal candidate will be bright and business facing and have experience of signing off on financial promotions.

Although this will mainly be UCITS focussed, you’ll also be required to work on a number of compliance related projects autonomously.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.