Compliance Manager (Generalist) – real estate experience required
THE COMPANY:
Our client is a leading global real assets investment management firm. They are looking for a Compliance Manager (Generalist) to join the team. This individual must have Real Estate experience/exposure.
THE RESPONSIBILITIES:
Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies
Evaluate the efficiency of controls and improve them continuously
Monitor compliance with the FCA legislation as it applies to the FCA regulated team under the scope of MiFID
Undertake telephone monitoring of the regulated team
Complete annual monitoring plan
Work with KPMG on the CASS audit
Complete FCA returns
Work with the US legal team if any changes to the corporate structure which could affect our registration with the FCA under “change of Controller”
Complete regulated board report quarterly and take minutes of the meetings
Revise procedures, reports periodically to identify hidden risks or non-conformity issues
Draft, modify and implement company policies
Collaborate with corporate counsel and People department to monitor enforcement of standards and regulations
Develop training programmes to ensure all UK staff are compliant with the correct regulatory organisational requirement of FCA
Keep abreast of legislative changes, regulatory developments within or outside the company and advice the relevant stakeholders
Assess the business’s ventures to identify possible compliance risks
Prepare reports for senior management and external regulatory bodies as appropriate
EXPERIENCE REQUIRED:
Must have Real Estate experience/exposure
Proven experience as a Compliance Manager for a professional services firm
In-depth knowledge of the industry’s standards and regulations in particular MIFID, ICARA, SMF
Excellent knowledge of reporting procedures and record keeping
Business acumen partnered with a dedication to legality
Methodical and diligent with outstanding attention to detail and organisational skills
An analytical mind able to identify the complexities of procedures and regulations
For further information please contact Spencer Evans
