Compliance Manager

12 Feb 2017
12 Mar 2017
Contract Type
Full Time

Our client, a leading investment management firm are looking for a Compliance Manager based in the London office. The role will be responsible for ensuring compliance with relevant regulations. This is an exciting opportunity to join a rapidly growing firm with a diverse high calibre client base and interesting compliance projects.

Compliance Manager Responsibilities:

  • Manage the ongoing compliance monitoring of investment managers and portfolio managers.
  • Conduct monthly calls with clients of the firm to discuss compliance requirements for monitoring and documentation.
  • Lead a compliance team on a variety of special compliance projects and thematic reviews.
  • Analyze compliance requests and articulate solutions or present compliance questions to the compliance committee for discussion.
  • To complete various client facing tasks, office visits and file reviews.
  • Oversee and review various applications for authorization with the Financial Conduct Authority.
  • Sign off financial promotions.
  • Reporting into the Managing Directors.

Experience and Skills;

  • Solid understanding of common industry practices.
  • Excellent verbal communication skills, with the ability to translate complex information, analytics and situations into a clear and simple message.
  • Strong information gathering, analytical and problem solving skills.
  • Highly motivated and organized self-starter with a excellent editing and writing skills.
  • Strong attention to detail.
  • Strong interpersonal skills with the ability to build strong relationships.