£30000 - £40000 per annum
10 months ago
A top global investment management business is looking for maternity cover for an exciting legal and compliance hybrid role in its London office.
To be considered for this role you should have proven in-house experience in a financial services setting ideally with a combination of a legal and compliance/regualtory focus. In particular, any experience with compliance monitoring would be especially valuable.
You would be joining a really friendly, collegiate team of legal and compliance professionals focussing on supporting the investment management side of the business.
This would be a really broad and challenging role encompassing some of the following:
- Monitoring compliance with investment guidelines, laws and regulations applicable to investment firms and investment funds;
- Reviewing and analysing financial services providers' KYC requirements to ensure the business meets such requirements and providing KYC documentation as required by the banks/fund managers;
- Anti-Bribery and Corruption confirmation requests to Associated Persons;
- Account Opening, Closing & Maintenance;
- Board approval: draft Board Papers and obtain Board Resolutions where required;
- Successfully liaising with other departments such as Treasury, Tax, Finance, external counterparties, front office, senior management, Company Secretarial, and Relationship Management;
- Performing legal research in an accurate and timely manner in relation to applicable laws and regulations;
- Assisting with negotiations to facilitate execution of investment related agreements, such as NDAs, Termination Agreements and Amendment Agreements;
- Prepare Board Papers in relation to Investment Management across the business;
- On boarding of new banks, including mandates;
- Ensuring records are maintained in accordance with internal, regulatory and audit requirements;
- Assisting with the establishment of derivatives trading (and other counterparty) relationships for a UCITS Unit Trust;
- Maintaining relationships with counterparties and consultancy services as well as other parts of the group;
- Representing the team in Counterparty review meetings to discuss the business partnership and address concerns as appropriate.
It is not required that you have experience with all of these matters but if you have a strong in-house background in legal/compliance with some compliance monitoring and would be interested in applying then please get in touch.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.