Compliance Projects Manager - Buy-Side
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.
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