Job Title: Compliance Officer
Location: UK, London
Department: Legal & Compliance
Employment Type: Full Time
To Apply: Please email a covering letter and your CV (stating the position you are applying for) to: email@example.com
This role will be based in LaSalle’s London office, this is the largest of LaSalle’s European offices with 180 employees, £11Bn assets under management and is regulated by the FCA. This is generalist role, the job holder will have primary responsibility for all compliance matters under the supervision of, and being supported by, the European Compliance Officer who is registered as CF10 and CF11. Compliance in this context is not limited to FCA rules but also extends to internal policies and procedures and wider issues including, for example, anti-bribery, data protection etc. The job holder will need to have excellent organization skills in order to efficiently manage competing priorities.
The European L&C team is a small busy team serving a successful and dynamic real estate investment management business which operates from London, Paris, Munich and Luxembourg. The European General Counsel and European Compliance Officer are based in London together with this role holder and the UK Legal Counsel. We have two further compliance officers one based in Luxembourg and the other in Munich. The job holder will have a wide range of responsibilities and will be required to operate at a strategic, operational and administrative level. This is an exciting opportunity for someone looking to quickly expand their experience and get good exposure to operating at a senior level.
Role and Accountabilities
Advice and Training
- Provide compliance advice to colleagues from investment management, asset management and other departments regarding compliance matters including for example, internal compliance requirements, conflicts of interests, regulatory developments and FCA rules.
- Respond to compliance questions included in invitations to tender received from potential clients.
- Deliver compliance training.Compliance monitoring
- Develope the compliance monitoring programme enhancing existing checks and adding new ones (compliance monitoring is managed via the Charles Schwab Compliance System)
- Undertake the compliance monitoring programme, reporting on findings, making recommendations and ensuring they are successfully implemented KYC and sanctions
- Undertake KYC and client categorisation checks regarding new clients.
- Review and sign-off on KYC in respect of parties we transact with.
- Maintain KYC database.
- Review and resolve sanction and PEP matches generated via the ongoing online screening process.
- Assist with the impact assessment of new FCA rules and EU Directives.
- Submit returns to the FCA.
- Maintain key documents, databases and registers.
- Assist with the drafting of the Quarterly Compliance report for the board.
Global Entity Management System (GEMS)
- Oversee and monitor the correct use of the system.
- Initiate the 6 monthly verification process.
- Identify and deliver enhancements to the way we use the system.
- Work with the European General Counsel and European Compliance Director on regulatory and M&A projects and certain investment transactions.
- Review non-disclosure agreements and regulatory clauses in investment management agreements and similar.
- Work, and share best practices, with the other Compliance Officers with travel if necessary.
Required Qualifications & Experience
- Degree level education
- Experience in investment management industry, preferably real estate, desirable
- FCA experience required
- Legal experience desirable
- Confident self-starter
- Able to self-manage, prioritise and work efficiently and independently
- Able to form good working relationships with colleagues at all levels
- Persuasive and diplomatic with the confidence to push back as needed
- Good communicator
LaSalle is an Equal Opportunity Employer and encourages applications from all sections of the community.