Compliance Manager (Permanent & Contract) £80K + Bens
Our client, a highly respected multi award winning, boutique asset manager is looking for an experienced Compliance Manager. The successful candidate will support the Senior Compliance Manager in undertaking the Annual Compliance Risk Assessment Process and in formulating the compliance monitoring programme for the ACD, Fund Governance Oversight and Investment Management and Product teams.
Roles & Responsibilities
Undertake compliance monitoring reviews, completing work to a high standard in a timely manner identifying risks, providing feedback and advice to the relevant risk owners.
Oversee and advise on the resolution of compliance issues and errors and breaches specific to the ACD, Fund Governance and Oversight, Investment Management and Product Management teams.
Deliver reports and Management Information to the Head of Compliance and / or Senior Compliance Manager to inform reporting to all relevant ACD and internal committees coupled with the wide Group.
Assist in maintaining and updating the risk-based compliance framework to ensure adequate identification, assessment, communication, control and monitoring of compliance risks.
Provide technical advice, guidance and training on compliance matters of relevance to the ACD, Fund Governance and Oversight, Investment Management and Product Management teams, obtaining guidance and assistance from the Head of Compliance and MLRO as required.
Ensure that the ACD, Fund Governance and Oversight, Investment Management and Product Management teams implement effective and compliant policies and procedures, systems and controls, and ensure they meet the required regulatory, risk management and governance standards.
Develop and maintain positive working relationships throughout the business but in particular with the ACD, Fund Governance and Oversight, Investment Management and Product Management teams.
Champion an effective compliance culture, helping the business to manage compliance risks within their areas of responsibility.
Experience & Qualifications
Proven experience in a compliance function within the Asset Management arena.
Understanding of the role of an ACD (Authorised Corporate Directors).
Strong communication and stakeholder management skills. Ability to translate compliance regulations to internal teams.
Ideally, you will be degree educated.
Excellent attention to details skills with a genuine interest in financial services.
Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.