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Compliance Manager - Investment Manager

Full Time
Greater London
25-04-2023 02:30 PM

Our client is an independent asset manager with a fine reputation in the market

  Job Profile

Reporting into the Head of Legal and Compliance, your duties and responsibilities will be as follows:

  • Proving regulatory advice to the business – including transaction-specific and general Compliance guidance;
  • Undertaking horizon-scanning and assessing the potential commercial impact of new and forthcoming regulations;
  • Conducting monitoring to ensure that the business is compliant with internal rules and external regulations;
  • Work with business areas to identify and mitigate emerging risks;
  • Undertaking thematic reviews – including planning, scoping and conducting reviews, collating findings/producing MI, escalating issues where necessary and working on remedial action plans with senior stakeholders;
  • Review and opine on breaches and errors identified within the business;
  • Maintaining and updating policies and procedures where necessary;
  • Reviewing and approving financial promotions and other distribution material(s);
  • Assisting with business-wide Compliance training;
  • Investigation into client complaints received;
  • Creation, development and maintenance of compliance and conduct risk management information;
  • Assisting with external enquiries from the FCA and other regulatory bodies;
  • Conducting regulatory reporting and filing – and maintaining internal registers;
  • Reviewing and approving PA Dealing, gifts and entertainment and outside business interests;
  • Ensuring that all responsibilities under the SM&CR regime are met and maintained;
  • Liaising with and maintaining open dialogue with other business areas within the firm;
  • Attending various internal committees as a Compliance representative;
  • Assisting with AML and Financial Crime issues including CTF, Sanctions and PEP screening;
  • Providing full support to other team members and business areas as required.


Competencies Required

You will have 5-7 years generalist Compliance experience ideally gained from a wealth management or investment management firm with exposure to retail clients. Knowledge of MiFID II and the FCA Handbook is valued.

You must have a generalist skill set and be able to take on various daily tasks and responsibilities with the ability to multi-task and deliver against required timelines.

You will be commercial and pragmatic in your ability to provide solutions to challenges faced by Compliance and the wider business.

You must be analytical and have strong IT and writing skills.

You must be able to communicate with regulators and other business areas within the firm in a succinct manner.

You will also have experience on mentoring and managing other team members.

Fergus Hooley


07425 325267