Our client is an expanding London-based investment management firm, specialising in distressed credit/special situations.
THE RESPONSIBILITIES:
Assist in managing the compliance relationships with the front office team, portfolio managers, research analysts and the finance team.
Provide clear and consistent technical advice and guidance to colleagues in respect of the FCA’s rules.
Developing, updating and implementing the firm’s compliance policies and procedures.
Preparing and maintaining employee certifications in accordance with the FCA’s Senior Management Certification Regime.
Proactively review the implications and impact of upcoming regulatory changes.
Assist in/ lead on the day-to-day compliance oversight and monitoring activities of the firm including market soundings, management of the restricted list, advising on guideline restrictions, conflicts of interest, financial promotion approvals, client classification and research.
Provide compliance input into a range of projects / initiatives including new fund launches, and other development initiatives.
EXPERIENCE REQUIRED:
Prior experience of a compliance role within an Asset Management environment.
Strong relationship skills with the ability to engage proactively with portfolio managers, and colleagues at all levels.
A good knowledge of the FCA’s regulatory rules as they apply to asset managers.
Understanding of the asset management industry, and specific investment asset classes and products.
Attention to detail and accuracy, works systematically to meet and maintain standards, and adheres to procedures.
Good analytical skills, capable of thinking logically, using initiative and systematically able to resolve problems.
For further information please contact Spencer Evans
