Compliance Manager - London Compliance Manager - London …

Logan Sinclair
in London, United Kingdom
Permanent, Full time
Last application, 15 Jun 21
Competitive + Bonus + Benefits
Logan Sinclair
in London, United Kingdom
Permanent, Full time
Last application, 15 Jun 21
Competitive + Bonus + Benefits
A leading multi-boutique asset manager, with a head office in Australia which has been successfully growing its UK and Europe business, is looking for a Compliance Manager to join the team. This role will report into the Head of Legal and Compliance and offers the candidate an opportunity to expand their horizons and be challenged, in this fast-growing firm.

The purpose of this role: 

  • Lead the delivery of high-quality compliance services to (i) the two UK FCA regulated entities, (ii) a prospective Swedish MiFID authorisation, (iii) a new boutique investment firm FCA authorisation and (iv) support this firms SECs registration as an investment adviser;
  • Dealing and advising the business with respect to the appropriate response to regulatory change across the UK, EU and  US
  • Liaising with the various international offices the firm businesses in the delivery of the above and leading the provision of risk and compliance services to the wider group;
  • Develop skills and experience to, in due course, act as the SMF 16 (compliance officer) and SMF 17 (money laundering responsible officer) to FCA regulated entities;
  • Develop skills and experience in US investment adviser regulation and compliance;
  • Lead interactions with local and international regulators;
  • Provision of risk and compliance advice to the firms boutiques, across the regulatory environment
  • Liaise with compliance firms in the delivery of advice to the business;
  • Building and developing the compliance and operational infrastructure of the firms businesses internationally including UCITS and AIF vehicles; 


Role Requirements

  • Bachelor's degree, Masters or other advanced degree preferred
  • 5-10 years minimum in financial services with experience in compliance or risk
  • Have a strong understanding of policies, procedures and controls
  • Excellent interpersonal, organizational, communication and team-working skills
  • Strong analytical skills, excellent oral and written communication skills
  • Attention to detail, project management and organizational skills
  • Aptitude to work both independently and collaboratively, manage multiple simultaneous tasks in a high-pressure, deadline-driven environment
  • Knowledge of the structuring, establishment and operation of UCITS and AIF vehicles and other international fund vehicles
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