Compliance Officer - SMF16 & 17 (C276) City of London, England
| Salary: | GBP110000 - GBP150000 per annum + + Bonus & Benefits |
A niche Investment Management firm is looking for Compliance Officer to join their business in a broad & varied role that will in time hold the SMF 16 & 17 functions. May appeal to a candidate at a larger firm looking to move to a smaller business to broaden their day to day duties in a very hands on role. Candidates MUST have a very strong academic background across all stages of their academic studies.
Main Responsibilities
- Quarterly AIFMD regulatory reporting.
- Monthly AIFMD risk monitoring.
- Monthly CMAR Reporting and preparing for annual CASS audit.
- Monitoring major holdings daily and making disclosures if necessary.
- Reviewing presentations and factsheets before use or publication.
- Periodic compliance monitoring using programmes.
- Deputise for the Compliance Officer as and when required.
- Annual or more frequent reviews of policies, codes, systems and controls, compliance manual etc.
- Various fund administrative tasks relating to the UCITS and the AIF managed.
- Manage the companies approach to ESG & Stewardship Code Reporting.
Job Requirements:
- Minimum 5 years Compliance experience working within a similar Institutional Investment Manager.
- Strong understanding of AIFMD & UCIT funds
- Very strong academic background, degree educated, minimum 2.1 or equivalent from a top university.
- Legally qualified, preferable but not essential.
- Excellent verbal & written communication skills, comfortable working within a small, friendly high-calibre team.
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