• Provide compliance advise and support to the fund management team
• Ensure that Fund Management business operates in compliance with FCA and other regulatory and legislative requirements
• Oversee the management, development and implementation of policies/procedures – maintaining relevant records and carrying out related tasks
• Liaise with group compliance to ensure regulatory requirements are met
• Work proactively to maintain systems and processes that keep pace with industry and regulatory needs
• Provide support to the Investment Control team in monitoring the various funds related businesses (both on and offshore), reporting on breaches, mandate compliance etc
• Create, maintain, implement, monitor and distribute relevant procedures to the Fund Management business
• Review compliance monitoring data on the fund management business and resolve any required actions in a timely manner
• Liaise with client’s compliance and operations departments to ensure the administration between all parties is completed in accordance with any agreements and SLA’s in place
• Provide accurate and meaningful MI to the funds ExCo and Board as require
The successful candidate will have gained significant compliance experience in a similar Fund Management environment, with a very good knowledge of operations and requirements around. While you will need to have a detailed understanding of the FCA and regulatory requirements relevant to a Fund Manager, as important will be your ability to work under your own direction and to interact with and influence at all levels.
This is an excellent opportunity to join a well-established acquisitive business in a senior and influential role that for the right person may in time result in CF10/11 designation for the Fund Management business.
So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to email@example.com