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Compliance Officer (Monitoring), London

Joslin Rowe Recruitment Consultants
  • UK - London
  • £35 - £40 per annum
  • Full-Time Contract/Temp
  • Banking - Compliance / Legal
  • Joslin Rowe
  • 03-05-08

Job Description





An excellent opportunity exists for a Compliance officer to get involved in the protection and maintenance of key registers (including the breaches, personal dealing, financial promotions, complaints and gifts registers). Get involved in proactively logging and chasing for outstanding information for registers, reviewing and sign off financial promotions, dealing with and tracking the progress of complaints against regulatory timeframes, assisting with Staff Personal Account requests and respond to queries, carrying out daily monitoring of Charles River exceptions and override alerts, reviewing Investment Borrowing Powers for OEICs, sub advisory and hedge funds. You will also assist senior staff with compliance monitoring reviews, protect and maintain shareholding disclosure database and make appropriate disclosures, maintain soft and hard copy filing procedures. You will need to have a good knowledge of FSA/COLL rules, you will have experience of working with Trustees/Depositaries for onshore and offshore products. Experience with Hedge funds. FSA approved qualifications, IAQ, IMC or equivalent qualifications.
If you have similar experience to that outlined above, and are looking for a temporary opportunity within a progressive and dynamic environment, please forward your CV to compliancetemps@joslinrowe.com or call directly on 02077866412


Joslin Rowe - Winner of two UK Recruiter Awards for Recruitment Excellence in 2005 & 2006. "Highly Commended" in 2007.

Joslin Rowe Temporaries Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK.

Joslin Rowe Temporaries Ltd is acting as an Employment Business in relation to this vacancy.
  • Joslin Rowe
  • 198820
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