Senior Compliance Manager (6 month FTC)

THE COMPANY:

Our client is a large British investment manager based in the West End.  They are looking for a Senior Compliance Manager to proactively support the execution of the Compliance Plan and Compliance Monitoring Programme.

THE RESPONSIBILITIES:

• Assisting or managing the delivery of Periodic Reports for Group and UK regulated entity boards, Risk and Compliance Committee (“RCC”) and Fund Boards as required;
• Assisting or managing the delivery of Group and UK regulated entity compliance policies and procedures and risk-based compliance monitoring programme;
• Assisting or managing the delivery of Group and UK regulated entity risk-based Anti-Money Laundering and Anti-Bribery & Corruption policies and procedures;
• Development and roll out of training and knowhow relating to regulatory compliance matters pertinent to the Firm 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;
• Oversight of jurisdictions where the UK regulated entities operate or products are registered or distributed to ensure that relevant obligations are met (e.g. investment advisor registration with the US SEC);
• 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.

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.
• Ability to communicate at all levels of the organisation, including board level.
• Highly analytical, with significant attention to detail.

For further information please contact Spencer Evans