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.