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Compliance Officer - Asset Management

Job Title: Compliance Officer - Asset Management
Contract Type: Permanent
Location: London
Salary: £85,000
Reference: CGV-18633
Contact Email:
Job Published: September 12, 2018 04:34

Job Description

A boutique asset management house based in the heart of the West End with around $1 billion under management has created a new 'standalone' Compliance Officer opportunity. The firm has a number of UCITS funds and AIFs and reports into both the FCA and SEC. This will be a generalist, varied role (and include company secretarial responsibilities) and it is hoped the incumbent can grow with the firm and take on the CF10 and CF11 in time.

This is the firm's first compliance hire - day to day compliance work is undertaken by the COO and an outsourced consulting firm. You will be responsible for FCA Gabriel reporting, ICAAP, SEC returns, approved persons, SEC and FCA compliance monitoring programmes, compliance manuals, business continuity, client classifications, financial promotions, aggregations & allocations and best execution & CSA.

The ideal candidate will be looking for a growing, entrepreneurial environment and the opportunity to take on a standalone role with a smaller organisation. Asset management compliance experience is imperative, ideally from an institutional background and SEC exposure would be highly beneficial. Salary negotiable but most likely in the £75k-£85K region. CVs and enquiries to James Willacy at Austin Andrew.