Compliance Manager

THE COMPANY:

Our client is a global investment management company based in London.  With a focus on preserving and growing capital over the long-term, the business invests in a wide range of asset classes including public and private equity, fixed income, real estate, and alternative investments.

THE RESPONSIBILITIES:

• Minimise risk to business of regulatory breaches through ownership of FCA and SEC regulatory reporting and essential compliance procedures, e.g. PA Dealing, Stop/Refer List, Insider list, Gifts & Entertainment.
• Where breaches of regulatory rules or internal standards occur, manage appropriately and efficiently. Identifying areas of control weakness for enhancement and initiating corrective actions for preventing future breaches.
• Provide ongoing advice and support to internal teams in the interpretation and execution of regulation as they pertain to their working practices. Working with the business to improve the services they provide by advising on policy interpretation, framework development and best working practices.
• Manage monitoring programmes, including daily trade activity and monthly Best Execution.
• Review Financial Promotions material and Investor Relations marketing documentation.
• Assist in the Compliance Department’s management of the Internal Audit programme.
• Manage SMCR certification process
• Assist in researching and managing key regulatory and legislative changes.
• Assist in co-ordinating and providing the necessary Compliance information for the CASS, Depositary and any other audits.
• Responsibility for maintaining and updating Compliance Department Procedure notes.
• Manage the Compliance Department’s email inbox and ensure responses are provided in a timely fashion.
• Undertake all preparatory work as necessary to ensure all FCA and Securities and Exchange Commission (“SEC”) regulatory returns are submitted by the Head of Compliance on time, working alongside the relevant departments to discuss/obtain information required for the returns.
• Manage the firm’s online staff training programme, liaising with third party providers in this regard.
• Provide Compliance inductions to new joiners.
• Issue and collect annual staff declarations to all staff covering key regulatory and risk. procedures and including input from HR and IT.
• Assist in the periodic updating of the Compliance and AIFMD Manuals.

EXPERIENCE REQUIRED:

• CISI/ICA or ACMAS Compliance Diploma or similar.
• Will have existing knowledge of the regulatory environment for UK regulated financial services firms.
• Ideally will have experience of regulatory filings, in particular AIFMD and SEC Reporting.
• An excellent understanding of FCA handbooks, AIFMD, SMCR and GDPR and other relevant regulations.
• Experience in Compliance review of financial promotions material and Investor Relations marketing documentation.
• Able to absorb regulatory material and apply to the firm’s activities.

For further information please contact Duncan Jeffery