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Compliance Manager - Asset Management

Full Time
Greater London
15-02-2024 11:18 AM

A full specification is available however key responsibilities will include

Compliance Advisory

To act as the lead trusted advisor to the asset management business

Core Compliance

Maintain registers, returns and filings as applicable

 Address and provide training on the various compliance and senior management arrangements required by the Group and/or applicable laws and regulation

Regulatory Implementation

To participate in the analysis and implementation of new regulations impacting asset management and the firm

Compliance Monitoring

To assist in the Monitoring team in performing monitoring activities as required

General Support to the Compliance Department

To provide ongoing assistance to the compliance team on day-to-day business queries, regulatory implementation, ad-hoc projects and provide back up support for the Monitoring Market Integrity and Financial Crime functions.

Policies, Procedures and processes

Establish, implement, and maintain adequate policies and procedures sufficient to ensure compliance of the firm under the regulatory system

Review and update, where necessary, the Asset Management Compliance Department’s processes

The client can offer a hybrid working pattern after a three month period


You must have strong asset management compliance experience

Fergus Hooley


07425 325267