Senior Compliance Manager , Generalist , Investment Management Senior Compliance Manager , Generalist ,  …

JJ Search
in London, United Kingdom
Permanent, Full time
Last application, 26 Nov 21
65-80k
JJ Search
in London, United Kingdom
Permanent, Full time
Last application, 26 Nov 21
65-80k
Posted by:
Joanna James • Recruiter
Posted by:
Joanna James
Recruiter
The Company: A highly regarded Wealth Management and Investment Management Firm.

 

The Role:

 

The Senior Compliance Manager will work in the UK Risk and Compliance team within this Wealth Management firm.  

 

The Senior Compliance Manager will be advising on investment fund regulation and developing the compliance risk management function, as well as preparing and delivering regulatory training to the Investment Management business.

 

 

A Compliance generalist role – the Senior Compliance Manager will be working across the investment management business.  

 

Providing Compliance advice and guidance on regulatory matters to the Investment Management business.

 

Managing risk and compliance focused projects and playing an active role in business projects.

 

Providing compliance review and oversight on all investment fund matters and drafting and maintaining compliance policies and procedures.

 

Conducting regulatory horizon scanning and assessing the impact on the business.

 

Reviewing and approving Compliance financial promotions and communications to ensure that they meet FCA standards.

 

The Senior Compliance Manager will be working on product governance workstreams to ensure that new products and services meet regulatory requirements, and are suitable for the designated target market.

 

Preparing compliance MI and reports for inclusion in Board and Committee packs.

 

The Senior Compliance Manager will also be responsible for Risk Management  - identification and assessment of regulatory and operational risks.

 

Monitoring Risk across all areas of the Investment Management business, including undertaking thematic reviews.

 

The Candidate:

 

At least 5-7years Extensive relevant Generalist Compliance experience in an investment management or wealth management firm.

 

Good working knowledge of UCITs and AIF Funds.

 

Good working knowledge of FCA and European regulations, specifically COBS, SYSC and COLL, MIFID II and SMCR.

 

Strong interpersonal skills with the ability to influence and interact at all levels

 

Team player with a positive and flexible attitude.

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