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Compliance Manager - tech focused investment manager

Full Time
Greater London
27-07-2023 02:49 PM
Austin Andrew Ltd  London Area, United Kingdom (On-site)

An excellent generalist opportunity to work for a very successful and well- regarded boutique tech-focused investment management firm

As it is a flat structure, you would be reporting into the Head of Compliance to ensure the firm meets its requirements on regulatory compliance, money laundering reporting and risk management

This would suit an enthusiastic and dynamic candidate with solid investment management compliance experience, with also the key skills outlined below. The candidate must be proactive and hands on, as well as having a strong interest in Regulatory Compliance


  • Have day to day responsibility for the completion of compliance monitoring tests
  • Provide input into the regulatory mapping process and the update of the compliance monitoring Programme and related tests
  • Prepare and submit regular FCA reports via Reg-Data
  • Work closely with the finance department when preparing and submitting FCA financial returns
  • Contribute to the update and drafting of compliance policies
  • Provide support on any regulatory compliance projects including but not limited to those related to ESG
  • Update PRIIPs and UCITS KIDs for two investment vehicles, as well as the associated EMT/EPTs, and distribute these to third parties
  • Review broker approval requests and have responsibility for the broker approval database
  • Respond and complete AML and DDQ requests from third parties, including brokers and service providers
  • Assist in the preparation of delivering face to face training
  • Register / deregister staff with the FCA
  • Responsibility for upkeep of compliance registers, such as conflicts and breaches & errors
  • Provide advice to the business as and when required
  • Familiarize and act as back up on daily/regular tasks currently being undertaken by another member of the team:
  • Major holdings monitoring and the preparation of disclosures
  • Ensure insider dealing processes are followed and records are kept updated
  • Produce monthly AIFM Risk Monitoring reports to the Risk Director
  • Ensure financial promotion and marketing materials are reviewed and records are kept updated
  • Have familiarity with the external online compliance training system

Experience and Key Skills Required

  • Between 7-10 years investment management compliance experience
  • Experience in working for a small firm advantageous
  • Good awareness of regulations applicable to the investment management sector such as MIFID II and AIFMD
  • Experience in compliance monitoring, particularly best execution and market abuse
  • Familiarity with FCA Reg-Data reports and FCA Connect forms
  • Good with numbers and proficient in excel
  • Experience in drafting and reviewing policies
  • Some knowledge of ESG regulations and a desire to develop further in that field
  • An interest in investment and financial markets which is the firm’s focus
  • Can do attitude on all aspects of the role
  • Enthusiastic and willing to take the initiative
  • Organized, methodical, diligent and able to work to deadlines
  • Ability to work independently as well as part of a team
  • Strong interest and desire to develop a career in regulatory compliance
  • Strong educational background – degree level and professional compliance qualification a plus

Fergus Hooley


07425 325267