Senior Compliance Monitoring Officer (Investment Management)

Nelson Scott LLP ,
Whiteley, Hampshire
More Details
Job Type: Full-time
Salary: £50,000 per annum

Overview

Senior Compliance Monitoring Officer An exciting opportunity has arisen for a Senior Compliance Monitoring Officer to join the Fareham, Hampshire office. Job Description : This role will directly support the Head of Compliance and Risk/Money Laundering Reporting Officer in the management of the compliance requirements for the company in order to provide a professional compliance advisory, project and monitoring service. The job holder is likely to be a graduate or equivalent (e.g. a FCSI or MCSI) with a comprehensive understanding of the FCA and other appropriate regulations governing the conduct of private client investment management, supported by several years’ practical industry experience. The job holder must have practical experience of giving compliance advice and undertaking compliance monitoring, particularly in relation to the majority of the following areas: AML transactions, CASS Oversight, Market Abuse, Transaction Reporting, Best Execution, Client Suitability and File Reviews, Settlement functions and the ability to review outsourced functions, and good technical ability surrounding the SYSC, COBS, CASS and DISP sourcebooks. The job holder must also have an awareness of risk and risk management/mitigation, both in a regulatory context and a wider business context.

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