Asset Management Compliance - Asset Management - London

Job Title: Asset Management Compliance - Asset Management - London
Contract Type: Permanent
Location: London, England
Salary: £55000 - £75000 per annum
Reference: BBBH16456_1505410319
Contact Name: Emily Marmoy-Haynes
Contact Email:
Job Published: September 14, 2017 18:32

Job Description


In contrast to many of its competitors, this Top Tier Institution is one of a few large global institutions that is benefiting from substantial growth across Europe at the moment, making it a very exciting and interesting time to join.

This role sits in the Asset Management Business of this institution although there are wider lines of business covering Investment Banking, Securities and Corporate Banking.

Headcount has increased significantly over the last 5 years as they continue to take market-share and expand operations into new areas. However, they have taken care to ensure their excellent culture has not been affected; staff satisfaction is something at the top of this Investment Bank's agenda, offering an excellent work life balance, down-to-earth culture and a friendly working environment.


Specifically your responsibilities will include:

  • Assisting in implementing the Compliance Programme and annual Compliance Review which includes SEC, OCC and FCA regulations
  • Support the Fixed Income trading desk with Compliance Advisory work
  • Assist in developing and creating Compliance policies and procedures
  • Ensure the Compliance Monitoring Programme and reporting is well executed
  • Assist in raising Compliance awareness throughout the company
  • Monitoring Compliance with FCA and SEC rules covering all aspects of trading, confirmations and customer classifications and documentation
  • Assist in liaison with Compliance teams globally to ensure conformity with all internal reporting


To be considered for this job, you will have the following experience:

  • Strong Compliance background from experience gained at a FCA regulated Asset Management / Investment Management company is essential
  • Good working knowledge of the UK regulatory environment and how the FCA requirements apply to asset management lines of business
  • Communication - excellent interpersonal, communication (written and presentation) skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff
  • Team working - proven track record of working collaboratively and demonstrated ability to work effectively as part of a team
  • General understanding of regulatory rules and best practice is desirable

If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes, Financial Crime Compliance Recruitment Consultant at Twenty Recruitment.

Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.