Compliance Manager Asset Management (EXCLUSIVE)

Key Activities

Day responsibility for the management and oversight of the core compliance monitoring programme and regulatory compliance

1. Working with various members of the firm alongside the CCO and compliance analyst to complete compliance related checks
2. Day to day ‘ownership’ of the CMP which encompasses all BAU topics including (but not limited to): MIFID II Research and Best Execution arrangements, electronic communications monitoring, trading related testing, SEC and FCA filings, market abuse, PA dealing Review of policies and procedures
3. Review and sign off of financial promotions
4. Participation in a number of internal committees (including representing compliance on the Research Committee) as well as meeting pack preparation, scheduling and minute taking
5. Keeping of registers for breaches, trade errors, conflicts of interest, MIFID II Inducements
6. Broker /counterparty due diligence and new broker or research provider set up Horizon scanning SMCR implementation and documentation reviews for senior managers
7. Annual Training and competence reviews

It's essential that you have at least five years asset management compliance experience