Senior Compliance Manager – Asset Management
One of the UK’s largest and oldest Financial Services Groups are seeking to recruit a Senior Compliance Manager to provide Compliance oversight within their Group function.
With a key focus on their Asset Management business, you will be required to:
- Assess and mitigate compliance risks, and provide challenge to the firm’s compliance arrangements
- Engage with wider Compliance team, senior management and key head office functions in order to develop a solid understanding of the firms’ business model, products and regulatory environment.
- Keep firmly abreast of Regulatory change and maintain a strong understanding of those changes
- Conduct compliance monitoring reviews into aspects of the firms’ compliance arrangements, identifying enhancements to policies, procedures and activities in order to improve outcomes, and presenting findings to senior management
- Oversee, lead and contribute to project work in Group Compliance as required
- Identification and proactive monitoring of key risks
- Horizon scanning for regulatory developments and feedback from regulatory publications
- Excellent knowledge and solid experience of Asset Management industry
- Excellent understanding of UK regulatory Framework for Asset Managers
- Audit and Monitoring Experience (highly desirable)
- Strong ability to build and manage relationships across a range of seniorities.
- Capable of analysing a range and large volume of data, picking out key details, issues and risks.
- Can challenge appropriately.
- Strong commercial focus and communication skills, at all levels.
- Strong understanding of investment / asset management regulation
- Familiarity with or an interest in relevant RegTech solutions and digital innovation.
- Strong education background (preferable)