Investment Management Compliance Manager

Job Title: Investment Management Compliance Manager
Contract Type: Permanent
Location: London
Salary: £55000 - £75000 per annum + Benefits and Bonus
Start Date: ASAP
Reference: BBBH13913
Contact Name: Joshua Rubin
Contact Email:
Job Published: February 08, 2017 13:37

Job Description

A top tier asset management firm has recently begun their search for an Investment Management Compliance Manager. The role is very broad in scope and will include a variety of responsibilities and exposure including Advisory, Monitoring, Regulatory developments, Fund Governance and Compliance Procedures.

Role Overview:

  • Assess impact of regulatory documentation released by the FCA or other regulators that impact the company and any subsidiaries
  • Assist with the review and implementation of regulatory change in the business
  • UCITS / AIFs - a good working knowledge of funds is required to assist with the governance, policies, procedures and eligible asset requirements of funds and Fund Management Companies in Ireland and the UK.
  • Assist HOC with the preparation and collation of the Fund Governance board papers and attachments
  • Undertake thematic compliance monitoring as assigned in the annual Compliance Monitoring Plans
  • Ensure regulatory compliance processes are undertaken as planned and updated/enhanced as appropriate
  • Where required, assist staff to implement controls and procedures to ensure compliance with relevant regulations, laws and codes
  • Provide advice and guidance to staff in relation to enquiries regarding regulatory matters, referring any queries to the HOC as required

Ideal experience:

  • Previously worked for an Asset Manager or Custodian or Hedge fund
  • Strong knowledge of UCITS
  • Generalist compliance experience would be advantageous
  • Good working knowledge of funds compliance
  • Previous experience assisting with governance, policies and procedures

Should you be interested in this role please apply to this advert or send a copy of your CV directly or call 0203 189 4317 to discuss further.

Twenty Investment Management Compliance are marker leader who specialise in recruiting across a variety of Investment Management Compliance roles including: Advisory; Monitoring; Thematic Reviews; Financial Promotions; UCITS Compliance; Compliance Generalists; Central Compliance; Surveillance; Regulatory Developments & Affairs; Regulatory Implementation; CASS and Head of Compliance roles.

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