The UK arm was established five years ago and employs around 50 people in its office in Mayfair. It has sister firms in both New York and Singapore and there is an oppurtunity to learn MAS regulations too . The firm has an entrepreneurial approach to all of its business and operations. The successful candidate will have the opportunity to contribute to the further development and future growth of the organisation.

Reporting into the in-house Lawyer/Head of Legal and Compliance you will be expected to hit the ground running , and take control of the entire compliance function .

Key Responsibilities

Drafting and review of policies and proceduresInterpretation of FSA rules and provision of clear advice on their application

Acting as initial point of contact for all staff concerning compliance matters

Ensuring compliance with anti money laundering legislation

Provision of training to  staff on compliance and AML requirements (an on-line system is used for regulatory training so little face to face training will be required)

Maintenance of FSA registrations for staff

Reviewing all marketing material, research notes, etc to ensure compliance with applicable regulations

Key Skills

Solid previous compliance experience in an investment banking, broking/trading or asset management environment

An ability to take on tasks at all levels from administration to provision of complex compliance advice

Ability to liaise with staff at all levels and explain regulations as they apply to various business activities

Ability to review business practices and implement ongoing controls as required by regulatory or organisational changes

Education and experience

Approx 5 years experience of compliance role in investment banking or asset management

Law degree preferred