Junior Compliance Manager - Asset Management

Junior Compliance Manager - Asset Management

This prestigious Asset Management Company is one of the top banking organisations, recognised as an industry leader, privately owned, stable and professional, offering first-class career prospects. This is an exciting opportunity for a Junior Compliance Manager to work assist the Head of Compliance.

Purpose:

- To practice and encourage others to operate in a professional and ethical manner that will reflect credit on the company
- To carry out a risk based monitoring programme, identifying weaknesses and pragmatic solutions, and reporting in a clear and concise manner
- To ensure that staff respect the rules and regulations that apply
- To avoid regulatory problems
- To perform monitoring tasks to check for compliance with FSA and SEC's regulatory requirements as detailed below and to provide support to the Compliance teams based in London and Geneva
- Carry out the daily monitoring of adherence to client investment restrictions, and maintain accurate investment restriction data on the system
- Deal with Compliance issues surrounding staff starter and leavers 
- Monitor Personal Account dealing and gifts
- Assist Compliance Managers in the response to any reasonable request for information made by the FSA, SEC, FINMA or any other relevant regulatory authority
- Assist Compliance Managers in the establishment, maintenance an administration of adequate arrangements for awareness and training
- Develop and maintain a positive compliance culture through communication and monitoring regulatory responsibilities at all levels

Qualifications & Experience:

- Degree-level education or equivalent experience
- Possesses IT skills and knowledge of relevant software packages
- Some knowledge of FSA rules and regulations would be beneficial
- 1-2 years' experience in a compliance function, ideally within an asset management company

We believe in equality of opportunity for all job applicants regardless of gender, marital status, race, colour, nationality, ethnic origin, creed or religion, disability, sexual orientation or age.

Specialising within Energy Trading, Oil & Gas, Financial Markets and TV & Entertainment, Eaglecliff Recruitment is ISO accredited, a Member of REC and listed within the top 4% for Financial stability by Dunn & Bradstreet. Please telephone or email your CV for an immediate response. Eaglecliff Ltd is acting in the capacity of an employment agency for permanent recruitment and an employment business for contractor resourcing.