An Asset Management business based in London that are looking for a Compliance Manager to join their business in an advisory role working with all elements of the business. Candidates should have a strong Compliance background from within a similar advisory type role working closely with a Funds business. Experience of ACD strongly preferable.
- Undertake the annual Compliance Risk Assessment Process and in formulating the Compliance Monitoring Programme for the ACD, Fund Governance and Oversight, Investment Management and Product Management teams
- Undertake compliance monitoring reviews, completing work to a high standard in a timely manner identifying risks, providing feedback and advice to the relevant risk owners
- Oversee and advise on the resolution of compliance issues and errors and breaches specific to the ACD, Fund Governance and Oversight, Investment Management and Product Management teams
- Assist in maintaining and updating the risk-based compliance framework to ensure adequate identification, assessment, communication, control and monitoring of compliance risks
- Provide technical advice, guidance and training on compliance matters of relevance to the ACD, Fund Governance and Oversight, Investment Management and Product Management teams, obtaining guidance and assistance from the Head of Compliance and MLRO as required
- Assist the Head of Compliance with the Horizon Scanning process by pro-actively identifying and communicating regulatory changes, including FCA non-Handbook guidance, enforcement notices,
- Act as a mentor to the more junior members of the team
- Develop and maintain positive working relationships throughout the business but in particular with the ACD, Fund Governance and Oversight, Investment Management and Product Management teams
- Minimum 7 years Compliance experience, ideally from within a similar Wealth or Asset Management business.
- Strong Funds knowledge.
- Degree educated.
- Excellent communication skills, both written and oral.
Unless otherwise stated, candidates must have the right to work in the UK.
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