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Compliance Manager - Advisory & Monitoring - Asset Management

London Interim £70,000 - £90,000 per year View Job Description
Generalist investment management advisory and monitoring role. Working across a variety of areas within a small and busy compliance team.
  • Compliance Manager - Investment Advisory & Monitoring
  • Generalist Compliance role within a Capital Management firm

About Our Client

Equities specialist Asset Manager.

Job Description

  • Advising the business on compliance matters
  • Carry out compliance monitoring
  • Carry out regular and ad-hocBAU compliance tasks as per allocation, including but not limited to:
    • Financial promotions review,
    • AML, RFP and DDQ review,
    • Staff conflicts management,
    • FCA returns,
    • SMCR related tasks,
    • Restricted list maintenance,
    • Investment related Bloomberg AIM tasks
  • Assist with Compliance projects as required

The Successful Applicant

  • Generalist Compliance skillset within
  • Previous experience of working within an Investment Management environment
  • Good working knowledge of MiFID II topics, COLL, CASS, AML, SMCR, MAR
  • Good knowledge of UCITS funds
  • Experience of using Bloomberg AIM and StarCompliance desirable

What's on Offer

  • Competitive salary of £70,000 to £90,000 per annum, based on experience.
  • Opportunities to work within a respected specialist Asset Management firm.
Contact
Rob Cope
Quote job ref
JN-062026-7041872
Phone number
+44 207 776 5935

Job summary

Job function
Compliance
Subsector
Compliance Generalist
Sector
Financial Services
Location
London
Contract type
Interim
Consultant name
Rob Cope
Consultant phone
+44 207 776 5935
Job reference
JN-062026-7041872