Position Available: Compliance Manager
About Us: We are seeking a professional & resilient global Compliance Manager.
Requirements:
- Experience: 6 years compliance experience, within a fund management environment.
- Knowledge: Strong of FCA handbook & proficiency in UK financial products, including UCITS & other regulated fund structures.
- Qualifications: Accountancy or law Degree/ relevant qualifications & certifications.
Responsibilities:
- Compliance Advisory: Provide compliance advisory related to fund service & current FCA requirements, such as AML & Financial Crime. Efficient in advisory of current & new regulatory requirements.
- Monitoring & testing: Conduct second-line compliance monitoring in line with regulatory guidelines. Maintain documentation of compliance activities and findings, keeping records of audits, training sessions, and any instances of non-compliance and the actions taken to address them.
- Policies & Procedures: Maintain & enhance relevant compliance policies and procedures, influenced by the FCA. Conduct regular audits to ensure they are adhering to established policies.
- Compliance Oversight: Oversee compliance of Appointed Representatives with relevant policies and procedures & investigate suspicious activities and report to the appropriate authorities.
- Risk Management: Identify potential risks related to non-compliance and develop strategies to mitigate these risks. This can involve creating contingency plans and conducting risk assessments.
We have a current opportunity for a Compliance Manager on a permanent basis. The position will be based in London. For further information about this position please apply.
