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.
- 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
- 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.