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Investment Compliance Monitoring Officer

  • Location: London, Greater London, England
  • Salary: Negotiable per day
  • Job Type:Contract

Posted 17 days ago

  • Sector: Financial Services
  • Contact: James Batters
  • Duration: 9 months
  • Start Date: ASAP
  • Expiry Date: 10 October 2021
  • Job Ref: JN -092021-463503

Client - Well known, prestigious Investment Manager

Location - Central London

Duration - 9 months

Pay: Competitive PAYE day rate

  • Prior experience performing Compliance Monitoring on a variety of asset classes (ideally you will have monitored Equities, Fixed Income, FX and more).
  • Prior experience Monitoring the activities and enhancing the polices & process' of a Trade Surveillance team from a regulatory & best practice perspective (this is not a trade surveillance role, and candidates with primarily just trade surveillance will not be considered).
  • Prior experience performing Thematic Reviews.
  • Good knowledge of FCA Handbook, COBS, MiFID II, MAR all essential.
  • Good knowledge on Investments, trading including common industry IT platforms such as Bloomberg.

If you believe you meet the above criteria please don't hesitate to click apply to find out more

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