SENIOR COMPLIANCE MANAGER
£ 500 - 800 PER DAY
CITY OF LONDON
THE COMPANY
A small to mid sized asset manager based in the heart of the City. A collegiate and open environment that is very team orientated. Multi-jurisdictional my client focuses on investing in Far East equities.
THE ROLE
A contract position for 6 - 9 months as a senior compliance manager.
- Principal contact with regulatory bodies in the UK, US and elsewhere
- Responsibility for day to day monitoring and where necessary creating solutions to existing or potential issues
- Preparation and submission of regulatory compliance reports
- Development and maintenance of the UK Group Compliance Manual. Ensuring applicable procedures are followed
- Liaise and co-ordinate group compliance policy with managers located overseas
- Review HFSB conformity annually
THE SUCCESSFUL CANDIDATE
- Significant experience of regulatory environment in the UK including MiFID 2 exposure
- Experience and knowledge of US regulations preferred
- UCITS knowledge preferred
- Excellent verbal and written communication skills
- Comfortable dealing with individuals across levels of seniority
- Registered CF10 preferred however not required
- Experience of equity compliance
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