Compliance Manager Compliance Manager …

GuardCap Asset Management Limited
in London, United Kingdom
Permanent, Full time
Last application, 17 Sep 21
Competitive + Bonus
GuardCap Asset Management Limited
in London, United Kingdom
Permanent, Full time
Last application, 17 Sep 21
Competitive + Bonus
Posted by:
Tom Massey • Recruiter
Posted by:
Tom Massey
We are a rapidly-growing investment boutique based in St. James’s, London and part of a major Canadian institutional investment group. We manage long only high performance, actively managed global and emerging market equity portfolios. An opportunity has arisen for a Compliance Manager to ensure that our operations and business transactions follow all relevant regulatory, legal and internal rules. You will also review employees' work and provide advice on compliance.

To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry's standards. If you also have a sharp business acumen, we'd like to meet you.


Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.


The Role


  • Develop and oversee control systems to prevent or deal with violations of legal and regulatory guidelines and internal policies
  • Evaluate the efficiency of controls and improve them continuously
  • Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues
  • Draft, modify and implement company policies
  • Collaborate with corporate counsel and HR departments to monitor enforcement of standards and regulations
  • Assess the business's future ventures to identify possible compliance risks
  • Review the work of colleagues when necessary to identify compliance issues and provide advice or training
  • Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control
  • Prepare reports for senior management and external regulatory bodies as appropriate


The Person


  • Proven experience as a compliance manager
  • In-depth knowledge of the industry's standards and regulations
  • Excellent knowledge of reporting procedures and record keeping
  • A business acumen partnered with a dedication to integrity
  • Methodical and diligent with outstanding planning abilities
  • An analytical mind able to "see" the complexities of procedures and regulations
  • Excellent communication skills
  • BSc/BA in law, finance, business administration or related field
  • Compliance certificate or qualification would be advantageous
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