Show job search
Search for an exact word or phrase
"search query"
Use quotes to search for an exact word or set of words.
Search for either word
query OR query
If you want to search for jobs that may have just one of several words, include OR (capitalized) between the words. Without the OR, your results would typically show only jobs that match both terms.
Exclude a word
NOT query
Add a NOT before a word to exclude all results that include that word. 
Include a "fill in the blank"
query * query
Use an asterisk (*) within a query as a placeholder for any unknown or "wildcard" terms.
Use Ctrl (Command on Mac) to Select Multiple
Use Ctrl (Command on Mac) to Select Multiple
Job type
Use Ctrl (Command on Mac) to Select Multiple
Clear Search

Compliance Projects Manager - Buy-Side

Part Time
Greater London
17-04-2023 02:32 PM

Following growth, the Company is looking to recruit a Compliance Projects Manager on a six-month fixed term contract basis.
The Compliance Projects Manager will support in delivering key compliance driven projects and other business as usual compliance activities.


Key Responsibilities of the individual will include:  


Assist in reviewing the following processes/frameworks: best execution framework; market abuse surveillance; and investment research.

Daily portfolio compliance guideline monitoring and investment breach reporting.

Personal account dealing review and approval, and other Code of Ethics related administration including gifts and hospitality review and approval.

Internal compliance monitoring testing and reporting.

Investor AML/KYC.

Client reporting.

Other advisory and ad hoc project work  


Education and Qualifications Essential

  • University degree Desirable
  • Investment Operations Certificate
  • Investment Management Certificate


Relevant Knowledge and Experience Essential

  • Strong track record of successful project delivery
  • Significant experience within the investment management industry
  • Strong technical knowledge of FCA and SEC rules as they apply to an investment/fund management organisation
  • Proven technical and advisory capabilities – not just in implementing compliance frameworks but also developing and improving compliance controls 

Fergus Hooley


07425 325267