Role details

Risk and Compliance Manager, Buy Side, OEIC

London   •  Permanent

Bullet points

  • A broad, interesting, London based position requring a buy-side generalist
  • With knowledge of OEIC, must have worked on fund launches/ applications

About Our Client

Risk and Compliance Manager, Buy Side, OEIC role sits within Financial Services and is based in London. This Risk and Compliance Manager, Buy Side, OEIC role sits in a growing, dynamic company. It offers great exposure, opportunity to manage one direct report initially.

Job Description

This Risk and Compliance Manager, Buy Side, OEIC involves/ requires:

* This is a very broad position that requires strong buy-side experience, particularly exposure to OEICs

A Risk and Compliance Manager who has a wide range of experience in relation to all FCA requirements.

  • To have the capable of 'owning' the operational compliance framework for the business, and have the potential to contribute meaningfully to, and become part of, its management team.

Compliance Monitoring Policy

  • Drafting, agreeing with the Head of Risk and Compliance and then implementing, in a timely manner, the Compliance Monitoring Policy.


  • Identifying and reporting instances of non-compliance to the Head of Risk and Compliance and liaising with the business to ensure any required remedial actions are undertaken.
  • Communication with, and partnering with the business on compliance matters.

Risk assessment

Assist the Head of Risk and Compliance with the risk assessment process, focusing on the industry, operational, legal, financial and regulatory risks in the business.

  1. Reporting on key risks, including agreeing mitigating controls and escalating other risks (e.g. in relation to specific deals);
  2. Conducting reviews of current or emerging high risk and high profile activities. This includes not only providing risk advice on a range of deals but also reviewing the existing control environment within individual overseas offices and UK businesses.
  3. Helping managers at all levels across the organisation ensure that risk management is embedded at an operational level within the business and that staff at all levels are aware of and manage risk as a core part of their responsibilities
  4. Advising or training staff at all levels on core and on-going risk management issues (e.g. anti-fraud practices, the identification of 'red flags' and the importance of customer / supplier due diligence).
  5. Ensure risk MI is complete, accurate and records are maintained

Policies and procedures

  • Assist in the design, implementation and periodic review of policies and procedures.

Education and advice

  • Educate staff on the policies, procedures, laws and regulations that impact the business and provide commercial and positive advice in a timely manner.


  • Execute a compliance monitoring programme, documenting and reporting findings.

Corrective action

  • Provide the business with details of the corrective action required to remedy weaknesses identified during compliance reviews and oversee its implementation in timely manner.


  • In conjunction with the Head of Risk and Compliance, manage relationships with regulators.


  • Provide compliance approval for financial promotions, literature and new products in a timely manner.

The Successful Applicant

-Buy side, generalist experience

-Experience with fund launches & submitting applications

-Previous work with OEICs

What's on Offer

Please enquire

Apply for this job

Click the Apply or LinkedIn button below or contact Heather Ninnes on +44 20 7776 5936 quoting job reference 13745918
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