Compliance Officer

Job Type:
Job Sector:
Investment Funds - Transfer Agency, Investment Funds - Fund Accounting, Compliance, Unit Trust & OEIC Administration
Salary Description:
Job Ref:

Our client, a reputable fund services operation with offices in London & Chelmsford, has a new opportunity for a Compliance Officer to join the team.  As a key member of the compliance team, you will provide internal monitoring and compliance support to the business.

Key responsibilities:
  • Conducting compliance monitoring in relation to regulated fund administration activities including Fund Accounting & Transfer Agency
  • Working closely with the Senior Compliance Officer to maintain and enhance compliance policies
  • Conducting internal reviews, investigating compliance breaches as appropriate
  • Providing regulatory documentations and handling submissions
  • Providing regulatory support to the business in relation to new products and implementations
The Compliance Officer will have good knowledge of the regulatory environment for investment funds - COBS/COLL/SUP/FUND/CASS.  You will have previous compliance monitoring experience and have strong all round knowledge of fund administration.  An excellent opportunity for an investment funds compliance specialist.
Contact Details:
Tel: 01277 263578
Contact: Steve Johnson

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