Senior Compliance Manager - Global Asset Management - £100k-£140k

6 days left

Law Support
04 Feb 2017
04 Mar 2017
Contract Type
Full Time

Senior Compliance Manager - Global Asset Management firm - £100,000 - £140,000

My client a Global Asset Management firm based in the City are recruiting for a Senior Compliance Officer/VP on a permanent basis to manage and provide portfolio monitoring support for portfolios trading the UK, Europe, Asia and the US.

Reporting into the Head of Compliance you will be responsible for :

  • Developing and implementing the compliance program

  • Carrying out an ongoing review of policies and systems to ensure compliance and minimise risk

  • Analyse current industry trends to identify and coordinate regulatory projects (addressing changes in regulation)

  • Provide ongoing advice and analysis on the regulatory landscape

  • Carry out regulatory training

  • Manage and provide support on Portfolio Trading (including overseeing the Portfolio Monitoring Team)

  • Update the current compliance manual and provide reports for the board.

  • Report regularly to senior management

  • Work with Risk, Internal Audit and external audit firms to ensure systems and controls are adequate to identify and prevent compliance and regulatory breaches

Skills & Experience:

  • Solid experience in a securities-related environment preferably in the area of asset management

  • Management experience is essential

  • Knowledge about UK FCA regulatory requirements

  • Knowledge on general compliance matters related to global trading, asset class support, portfolio monitoring and control room.

  • A general understanding of regulatory and corporate compliance matters

  • An understanding of monitoring techniques including compliance systems

  • A team player with good interpersonal skills

  • Familiarity with PC and LAN based systems especially with a Windows environment