Legal and Compliance Officer

QED Legal
England, London, City of London
£70000 - £85000 per annum + Additional benefits
03 Dec 2018
31 Dec 2018
Simon Campbell
Full Time
Experience Level
Junior Level, Mid Level, Senior Level

Our client is an investment management organisation looking for a Legal and Compliance Officer for a 12-month fixed term contract based in London.

The successful candidate will be working alongside the senior executives to ensure the business is always compliant with FCA and other regulatory bodies' regulations. Experience of the Conduct of Business Sourcebook (COBS) from an Investment / Asset Management perspective and understanding of MiFID II is key.

Skills & Experience

  • Broad understanding of FCA Handbook - COBS - from an investment management perspective
  • Have a broad understanding of MiFID II from an investment management / asset management perspective


  • Management of regulatory returns
  • Management of compliance monitoring requirements and process ensuring compliance with FCA rules
  • Board agenda / paper preparation and performance of company secretarial in conjunction with Group Company Secretariat
  • Deal with all Anti Money Laundering (AML) issues
  • Keep all compliance procedures and contracts up to date.
  • Manage and interact with external compliance consultants as required
  • Pro-actively keep abreast of regulatory and compliance requirements
  • Work with other compliance, legal and secretariat staff as directed

In addition, you will also be expected to assist the General Counsel with legal matters within the company (and wider group companies) as required from time to time.

Our client envisages that candidates with a minimum of 3 years' experience will have the relevant skills / knowledge for this position, however this has been given as an approximate guide for applicants and our client is happy to consider the applications of candidates who fall outside of this range but who have the relevant experience.

For more information on this great in-house opportunity please contact Simon Campbell at QED Legal. If this position isn't for you but you know someone who could be suitable then please let us know. We offer a reward fee for any successful referrals. For full details please see our website.

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