Reporting to the Deputy Head of Compliance the Compliance Manager will be responsible for the following:

  • Provision of Compliance advisory support within marketing and AML
  • Assistance with the completion of the risk-based monitoring programme
  • Support the Approved Persons and TC regime
  • Liaise with FCA, and other applicable regulators
  • Review and advise of regulatory marketing issues
  • Ongoing review of CDD for AML
  • Act as the departmental lead on Marketing, Distribution and AML issues
  • Completion of monitoring and regulatory returns on time and to the required standard.
  • Maintenance of the PA dealing regime.

To be considered for the above position the ideal candidate should possess the following skills and attributes:

  • Good working knowledge of the Compliance function within asset management
  • Up to date knowledge of FCA rules and regulations
  • Advanced stakeholder management and communication skills

In exchange for the above my client will offer a competitive remuneration package and the opportunity to really make a difference to the Compliance function within a busy, international house.