Compliance Manager

Capita Resourcing Limited
London (Greater)
13 Apr 2018
20 Apr 2018
Contract Type
Full Time
Compliance/Audit Manager – Investment Management
Location: Central London
Duration:6 months, possibly longer.
Day rate:£Negotiable

Role overview
Our client are seeking a Compliance Manager to support the Investment Managers Supervision Team where you will undertake due diligence on portfolio managers where Fund Solutions has delegated portfolio management

What you will do:
-Understand and conform fully to company requirements on personal account dealing and disclosure of gifts and benefits received and given.
-Ensure that any complaint that is justified or otherwise, is properly reported for adjudication.
-Ensure that any incident which may involve a breach of money laundering rules is notified.
-Understand and conform to company requirements on Treating Customers Fairly and Conduct Risk.
-Ensure you understand the role of Authorised Corporate Director (ACD); the company’s regulatory obligations as ACD either directly or on a delegated basis, and the business implications.
-Ensure, as far as is possible, that all employees with whom the individual comes into contact, especially (but not limited to) those directly supervised, are similarly aware of and conform to company personal compliance requirements.

The ideal candidate will have the following:
-At least 10 years compliance experience gained at investment firms and/or regulators or at least 5 years audit or equivalent experience at a Big 4 firm.
-At least 2 years compliance/control room experience gained at an investment management firm or fund administrator would be desirable
-Good knowledge of the FSA requirements applying to investment management and an understanding of the rules relating to Collective Investment Schemes.
-Significant understanding of the required control environment within an investment management business.
-Ability to ‘think on your feet’ and to think laterally.
-Good judgement required to make recommendations and decisions that are pragmatic and commercially viable

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