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Compliance and Legal Manager

Full Time
Greater London
26-05-2023 04:16 PM

I am recruiting on an exclusive basis for a very successful traditional asset manager based in the heart of Central London - whilst it is a relatively small office the firm has substantial assets under management

Reporting into the Chief Operating Officer

This very broad position will embrace elements of both compliance and legal functionalities

I’m happy to provide more information but

Key responsibilities will include , inter alia :

  • Assisting with updating and execution of the compliance monitoring plan
  • Updating compliance and risk policies
  • Providing compliance advice to the business
  • Analysis and implementation of regulatory developments
  • Performing legal and regulatory research and advising the team on legal matters
  • Assisting with review/drafting of NDA’s and sundry legal documents
  • Updating ESG policies
  • Assisting with client onboarding
  • Updating registers and restricted list


I am keen to hear from candidates who have experience of general compliance experience ideally from , or with exposure to , an asset management environment

It is imperative that you have a strong desire to build a career within this area and are well-organised , meticulous and work collaboratively

A law degree or some hands-on experience in the field would be advantageous 

The firm is able to offer excellent career development - and in the medium-term there is a possibility of becoming the firm's SM16

Please apply online to Fergus Hooley - in complete confidence

Fergus Hooley


07425 325267