Compliance Manager - Investment Management
Fram Search is working on an exciting opportunity for a Compliance Officer to join a forward thinking boutique Investment Management firm. Our client is looking for an experienced Compliance Officer to assist with the development of compliance functions throughout the business, assisting staff on all regulatory requirements and successfully aiding the outsourced internal audit service to make sure the business is fully compliant.
The successful individual will have experience of being a key point of contact in all matters dealing with the FCA/PRA. In addition to this, they will be responsible for approving KYC documentation relating to opening accounts and payments. The main purpose of this position is to guide and oversee the compliance function within the firm, making sure all employees are working to an appropriate compliance framework. The role will be CF10 (Compliance oversight), CF11 (Money Laundering Reporting) and CF28 (Systems & Control) status.
Applicants must have worked in an investment management/wealth management environment and must have relevant experience of the above.