Position Overview & Specifications

Our client, an investment management company, is seeking a Compliance Lead to work as part of a small multi-skilled compliance management team to provide support to the whole business across a broad range of compliance related tasks. The role involves working at least two days a week in the office.

Roles & Responsibilities

The range of compliance tasks will include but are not restricted to:

  • Advising the business regarding CASS requirements and providing relevant training.

  • Approval/rejection of PA dealing and gifts/entertainment requests from staff members.

  • Resolving financial crime issues in conjunction with the MLRO.

  • Review, investigate and analyse breaches for regulated entities including investment and borrowing breaches.

  • Prepare relevant board and committee papers.

  • Research connected to new products and projects.

Experience & Qualifications

  • Experience of working in compliance and money laundering in the finance industry, preferably in fund management.

  • Demonstrable problem-solving skills.

  • Ability to work under considerable pressure and adhere to strict timescales.

To hear more about this exciting opportunity, please contact Linda Tottem on 020 7847 8876 or email your CV to http://linda@meredithbrown.com

Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.