Head of Investment Guidelines - Investment Management

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Investigo Compliance
  • 12 Apr 18 2018-04-12

A global asset manager are seeking an experienced compliance professional to head up the Investments Compliance team. The role has management responsibilities focused around 6-8 permanent staff and a projects team.

Key Responsibilities:

  • Daily management of the investment compliance function
  • Identify, resolve and/or escalate issues in a timely and effective manner and communicate the resolution/status of issues to senior management where necessary
  • Maintain Compliance Manual and policies covering U.K. and other requirements with regards to Investment Guidelines
  • Train and advise local staff regarding regulatory requirements
  • Contribute to and/or lead initiatives in support of individual, team and department goals

Successful candidates will have:

  • 8+ years’ experience in securities-related environment preferably in the area of asset management or mutual fund compliance
  • Management experience (desirable)
  • An understanding of monitoring techniques including the Charles River system (preferred)
  • Strong interpersonal skills