Compliance Officer - Transfer Agency

Job Type:
Job Sector:
Investment Funds - Transfer Agency, Compliance, Senior Roles, Unit Trust & OEIC Administration
Salary Description:
c.£70,000 + benefits
Job Ref:

Our client is the Transfer Agency arm of a global financial services group.  They have an exciting opportunity for a Compliance Officer specialising in Transfer Agency.  With a proven compliance & TA background, you will have a strong knowledge of industry processes and regulations such as COLL, COBS, CASS & AML.

Based in the City of London, with minimal travel within the UK, you will take responsibility for all aspects of compliance as they relate to UK Transfer Agency.  You will liaise closely with internal heads of Compliance and Transfer Agency to ensure that monitoring, oversight and risk management programmes are implemented and maintained.  You will liaise with the business as regard process improvement and with external stakeholders / regulators where cases of breach resolution require escalation.

More details on request; an excellent opportunity to develop a Compliance career whilst supporting and overseeing a growing Transfer Agency operation.

Contact Details:
Tel: 01277 263578
Contact: Steve Johnson

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