Compliance Manager (12 month FTC)

THE COMPANY:

Our client is a large British investment manager based in the West End.  They are looking for a Compliance Manager to primarily be responsible for the proactive execution of the Compliance Monitoring Programme (“CMP”).

THE RESPONSIBILITIES:

• Implementation of the CMP including the drafting of reports on findings of reviews and recommendations made.
• Drafting annual risk-based CMP.
• Review and approval of financial promotional material, including RFPs, monthly fund updates, master and ad hoc presentational material.
• Undertaking to a high standard Customer Due Diligence (“CDD”) of clients, distributors and counterparties and the periodic screening of the same.
• Responding to other ad-hoc compliance queries received from the business and administrators and third-party due diligence requests.
• Assisting in the delivery of periodic reports for Group and UK regulated entity Boards, Risk and Compliance Committee (“RCC”) and Fund Boards as required.
• Assisting in the development and roll out of training and knowhow relating to regulatory compliance matters pertinent to the Business and its funds/ clients.
• Monitoring UK and US regulatory horizon including relevant publications to ensure timely and relevant advice to the business to enable it to remain in compliance with applicable rules and regulations.
• Assisting in the timely and accurate drafting of responses, submission of filings, reports and returns to regulators, clients and the UK regulated entities material external service providers.
• Involvement in new business developments, specifically compliance related issues and requirements.
• Preparation and updating of policy and procedural documentation.

EXPERIENCE REQUIRED:

• A minimum of 10 years’ experience in the finance industry, ideally investment management and in a compliance function.
• Performed at management level.
• Detailed knowledge of the rules and requirements of the FCA and other relevant regulators such as the SEC, and the regulatory environment in which the UK regulated entities and Group operates.
• Ability to manage and prioritise multiple tasks.

For further information please contact Spencer Evans