Senior Compliance Specialist

Description:

Each Monitoring Specialist will have a variety of clients ranging from investment managers to appointed representatives. They provide compliance advice, and they will complete the compliance monitoring program. The role offers exposure to various investment strategies and regulated activity. The successful candidate will work with new start-ups, and non-UK firms looking to establish a UK presence.

Responsibilities Include

Project managing new client take on alongside our onboarding team and preparation of new business committee reports. Client Compliance Infrastructure set-up, working alongside the client to customise collateral to their needs. You will conduct compliance monitoring and ongoing advice and assistance, so knowledge of the AR MiFID AIFM regime and ideally CFTC and SEC would be an advantage The successful candidate will manage their own clients with the support of the larger team to ensure that within our clients that all regulated activities are conducted appropriately, that the opportunity for financial crime is removed. You will also ensure for your clients that conflicts of interest are assessed and updated, and mitigating controls and actions are in place. You will monitor personal account dealing via cutting-edge systems. We believe in engaging with our clients face-to-face or via Teams /Zoom to build relationships and ensure appropriate oversight.