- Growing Investment Management firm
- Great opportunity to take the lead from a compliance perspective
About Our Client
Our client are a leading UK Investment Management firm providing funds, direct investments and tailored investment solutions.
The Compliance Manager - Investment Management (hybrid working) will be responsible for:Compliance Advisory:
▪ Take the lead for ensuring day to day queries received from the business are responded to, referring onward internally where required.
▪ Work with the Head of Compliance to ensure new regulatory requirements are implemented by the business.
▪ Work with Head of Compliance to monitor regulatory updates and assess the impact to the business.
Compliance Monitoring Plan:
▪ Review and update as needed the compliance monitoring program to ensure it reviews the key regulatory risks of the business.
Ensure the program is completed within timescales with issues appropriately reported to the Head of Compliance, and any breaches and or risks identified are escalated and monitored for satisfactory closure.
▪ Undertake the monitoring in Bloomberg (Best Ex, Market Abuse, Order Allocation)
▪ Work with Head of Compliance on quarterly Best Ex Committee preparation, and report production. Projects:
▪ As the business continues to grow, both organically and through acquisitions, work in partnership with the Head of Compliance and business to identify new risks the business will need to capture and agree appropriate monitoring and reporting with the Head of Compliance.
The Successful Applicant
The Compliance Manager - Investment Management (hybrid working) should have the following skills:Essential:
- AIFMD experience from working in an asset management business ▪
- 5-7 years compliance experience
- Familiarity with UCITS rules and/or private asset/property funds would be useful but not essential.
What's on Offer
Salary of £70,000 -£75,000 plus attractive benefits package and bonus potential