ASSISTANT COMPLIANCE MANAGER-Asset Management 6-Months FTC contract -City

AJB Executive Search Limited
London (Central)
11 Feb 2018
21 Feb 2018
Contract Type
Full Time

Our client is an international but small city based Asset Management, covering a wide range of asset classes including equities, fixed income and alternatives. They have offices in Tokyo, London, New York, Hong Kong, Singapore and Shanghai and manage assets on behalf of financial institutions, pension funds, government agencies and retail investors.

Our client is seeking to employ am Assistant Compliance Manager on a 6 months Fixed term Contract to cover maternity to assist the Head of Compliance in a very small team

About the role

Daily and monthly compliance monitoring - Manage all compliance monitoring tasks as per checklist

Assist Compliance Officer on sign-off of all marketing materials

Maintenance of personal account dealing transactions

Scheduling and administering regulatory returns

Scheduling and administering third-party computer-based training modules and ensuring full completion by staff

Administering company documents such as Compliance Manual, broker documents, Portfolio Management Rules, and ISAE 3402 report

Assisting Compliance Officer in the implementation of new regulatory rules

Manage the day-to-day administration of compliance records i.e. FCA Annual Controllers Report, Financial Returns, etc.

Manage client files in accordance with FCA regulations and maintain client records including guideline breaches, complaints and termination


The role of Compliance Assistant Manager is broad and will require you to be flexible and proactive when completing tasks, mainly monitoring. You will have a minimum of 1 or 2 years general compliance experience, in financial companies (Asset Management company experience is preferred but not required).

You will be keen and motivated to learn and progress in your career and deliver effective support to the Compliance Officer on day-to-day tasks.

This opportunity is ideally suited to an individual with a strong interest to learn broad general compliance processes in a small company environment.

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