Compliance Advisory Manager - Asset Management

Resource Management Ltd
London (Greater)
£550 - £650 p day
09 Nov 2017
16 Nov 2017
Contract Type
Full Time

Our client is one of the fastest growing Asset Management Businesses in the City. The purpose of this role will be to provide compliance oversight and guidance across all distribution activity including client take-on and verification, product development, new regulation, fund documentation and financial promotions and marketing.

Key Responsibilities:

  • To advise on client classification in accordance with Institutional Team client take-on procedures
  • To be responsible for Know Your Client and Politically Exposed Persons sign-off processes and full oversight of AML processes
  • To provide input as needed to the Investment Operations team to ensure appropriate coding and monitoring of investment parameters and restrictions
  • To give guidance and support to the proposition team on regulatory documentation for new funds
  • To ensure all communications are aligned with the FCA's COBS rules

Skills & Experience required:

  • Experience of working in the Asset/Fund Management industry in a Compliance Advisory role is essential
  • Strong knowledge of the regulatory landscape and requirements, including full understanding of the COBS rules
  • Strong understanding of Investment products
  • Strong stakeholder and relationship management skills
  • Excellent communication skills both written and verbal

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