Senior Funds Compliance Officer - Asset Manager - London

Twenty Recruitment Ltd
£70k - £90k pa + Benefits and Bonus
21 Apr 2017
21 May 2017
Contract Type
Full Time
JOB OVERVIEW A Global Asset Management firm who have an excellent reputation are looking to strengthen their London compliance department with the hire of a senior compliance professional. The UK business includes equity, fixed income, multi asset and hedge funds products, with distribution via AIF's, UCITS and segregated accounts. The successful candidate will require a detailed understanding of the manufacture, governance and distribution of retail funds in the UK. KEY RESPONSIBILITIES * Provide guidance and advice for the establishment of a UK retail manufacturing and distribution framework. * Assistance with thematic monitoring reviews - defining scope, adding subject matter expertise, production of written reports, * Provision of accurate and timely technical advice to the business and senior management on the impact of regulations which affect the firm's businesses e.g. Market Abuse, MiFID II, Senior Managers Regime * Assume responsibility for assigned project work * The candidate will be required to establish and maintain relationships with senior business leaders and compliance staff in London and across the firm globally. * To assist the Head of Compliance in delivering day to day regulatory work and support the London business * Assess the effectiveness of current policies, procedures and controls. * Implement change to meet new regulations. * Design and provide training to the firm's staff with respect to compliance standards and relevant procedures and policies and on new and existing regulatory matters. * Preparation of MI and other reports on Compliance and regulatory issues for the senior management team, the Board and Global Compliance Committees. * Co-ordination of local regulatory advice & responsibility for local regulatory reporting for overseas offices and subsidiaries in the region. * Approval of Marketing materials to meet FCA / business requirements. EXPERIENCE REQUIRED * 4+ years Asset Management Compliance experience. * Extensive experience in a senior compliance role within the UK or European asset management industry. * Detailed knowledge of retail funds governance and distribution & market practice in the financial industry. * Strong technical knowledge including a detailed understanding of UCITS, FCA rules, SYSC, COBS, MAR, as applicable to a manufacturer of equity and fixed income funds and discretionary asset manager. If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Josh Rubin () at Twenty Recruitment. Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.