Compliance Manager *asset management experience required*

  • £90k
  • London, England, United Kingdom
  • Permanent, Full time
  • Holmes Search
  • 15 Apr 19

Compliance Manager required for an independent investment manager with a global client base of institutions, wealth managers and private investors. The right candidate will be an experience, organised and proactive person who will take ownership of their role with strong advisory and interpersonal skills. Key responsibilities will include oversight, advisory, deputise for CCO and assisting the implementation of policies and procedures.

Compliance Manager required for an established asset manager.

We’re looking for an experienced, organised and proactive candidate who will take ownership of their role, have strong advisory and interpersonal skills and be both process and detail oriented. The successful candidate will be part of a team of three supporting the Chief Compliance Officer.


Oversight responsibilities associated with an AIFM management company. This will focus on building on existing oversight and governance over outsourced service providers, and monitoring ongoing regulatory requirements and advising on developments that impact the Firm.
Advisory - providing day-to-day assistance and support to the business, responding in a timely manner to Senior Management and queries from the business.
Deputise for the Chief Compliance Officer when necessary.
Interpreting, monitoring, summarising and disseminating relevant regulatory or compliance related developments to the business, monitoring regulatory developments across the EU, and assessing the impact and implementing appropriate responses.

Assisting in the implementation and maintenance of adequate Policies and Procedures covering compliance activities.
Communicating with Regulators, Exchanges, Trade Bodies, Internal / External Auditors, in respect of compliance issues

Assisting in the development and application of a risk based compliance monitoring / review program.

Other duties will include day to day compliance responsibilities within the wider compliance function such as assisting with regulatory reporting, monitoring investment restrictions and maintenance of policies and procedures.


The candidate must have broad knowledge of the UK/European fund regulatory framework and a thorough understanding of compliance risks and their management. Knowledge of the US regulatory framework would also be useful but is not a necessity. The Firm manages a wide range of products in a number of jurisdictions, therefore the successful candidate will gain exposure to various aspects of compliance