Compliance Manager - Fund Manager - London

London (Greater)
£75000 - £90000 per annum + (travel fees paid / competitive package)
09 May 2014
06 Jun 2014
Ryan Graham
Contract Type
Full Time

Compliance Manager - Fund Manager - London

A leading Fund Manager with some exciting growth plans is seeking an experienced compliance professional in their London office. Reporting to the Head of Compliance, this is a great opportunity to gain some broad experience advising the London and European offices on UK and EU regulatory changes, Conduct of Business, financial promotions and a wide range of compliance issues.

Responsibilities will include:

  • Providing regulatory advice to both business management and teams across Europe
  • Keeping abreast of ESMA Communications and Directives including MIFID, AIFMD, EMIR and CRD IV
  • Reviewing FCA Communications including consultation papers, discussion papers, policy statements and market watch for industry guidance.
  • Monitoring European Conduct of Business Rules and Developments whilst providing coverage to the Italy, Spain and Germany branches
  • Checking compliance of branch activities, Institutional and Private Wealth, with local Conduct of Business rules
  • Being an advisor to the European Sales & Marketing teams on all matters relating to financial promotions and checking that marketing literature are in compliance with applicable UK / European, Professional / Retail conduct of business standards.
  • Providing regulatory training to the following business groups
  • Assisting in developing a compliance monitoring plan in accordance with FCA regulatory requirements, including thematic reviews, identifying the departments and frequency of compliance reviews.
  • Checking sales practices including suitability and non-advisory
  • Producing compliance reports consistent with regulatory standards for review by relevant Boards, governance committee's and business management


  • 5+ years experience in compliance preferably within the asset management sector
  • Effective written and oral communications skills with a diverse group of associates and senior business leaders
  • Strong people management and development skills
  • Ability to collaborate and develop working relationships inside and outside the organisation to enable effective completion of business objectives

Location - London

£75,000 to £90,000 base (+ travel fees paid & extremely competitive package)

This is a great chance to make your stamp within a well established firm who are on a journey of growth. If you are interested in applying, please send a CV highlighting your relevant experience ASAP to Ryan Graham at