Compliance Manager - Asset Management

LMA Recruitment Ltd
City Of London
£80 - £85k pa
09 Feb 2017
09 Mar 2017
Contract Type
Full Time
The Compliance Manager will focus on the compliance and regulatory impact implementing and executing a monitoring and reporting programme for this new area of the investment business. The Role Your main responsibilities will be to implement a compliance framework including, monitoring and regulatory reporting Primary duties will include: Management and Execution of the Compliance Monitoring Programmes * Review and update the Compliance monitoring programme * Plan and undertake reviews in accordance with the relevant Compliance Programme * Administration of periodic attestations and relevant Compliance and Risk Registers including Errors and Breaches, Financial Promotions, Approved Persons CPD and Conflicts Inventory. * Completion of ongoing surveillance monitoring as required. * Tracking of actions points and recommendations to ensure timely implementation. Completion of Regulatory Reporting * Coordination and completion of periodic regulatory reporting requirements in the UK, Ireland and US with particular focus on related reporting. * Assist with preparation of Compliance and Risk reports. * Ensure compliance with requirements of being a registered Commodity Pool Operator (CPO) in the United States. Provision of Advice in relation to policies and procedures and regulatory developments and training. * Develop policy and procedure updates and assist in wider firm policy development * Assist with provision of regulatory advice to the business as required and dealing with technical queries from the business. * Manage new regulatory registrations * Assist with the maintenance and completion of the Compliance Calendar * Assist with analysis of regulatory developments and to assist with the firm's preparations and projects for regulatory changes. * Assist with provision of regulatory advice to the business as required and dealing with technical queries from the business. Assist with the sign off of financial promotional materials. Job Requirements The Requirements * Significant experience in an asset management compliance role * Strong analytical skills required. Previous due diligence or internal audit type experience is a plus. * Experience with the impact and requirements of being registered as a Commodity Pool Operator (CPO) in the United States. * Proven ability to organise and prioritise multiple tasks to successfully meet deadlines and quickly understand and apply new subject matter. * To be proactive and demonstrate tenacity in effectively supporting the team whilst also being able to work independently to deliver to deadlines. * Excellent oral and written communication skills.