Compliance Manager - Fund Management Experience Required

Compliance Recruitment Solutions
London, UK
13 Sep 2019
30 Sep 2019
Contract Type
Full Time
  • Provide compliance advise and support to the fund management team
  • Ensure that Fund Management business operates in compliance with FCA and other regulatory and legislative requirements
  • Oversee the management, development and implementation of policies/procedures - maintaining relevant records and carrying out related tasks
  • Liaise with group compliance to ensure regulatory requirements are met
  • Work proactively to maintain systems and processes that keep pace with industry and regulatory needs
  • Provide support to the Investment Control team in monitoring the various funds related businesses (both on and offshore), reporting on breaches, mandate compliance etc
  • Create, maintain, implement, monitor and distribute relevant procedures to the Fund Management business
  • Review compliance monitoring data on the fund management business and resolve any required actions in a timely manner
  • Liaise with client's compliance and operations departments to ensure the administration between all parties is completed in accordance with any agreements and SLA's in place
  • Provide accurate and meaningful MI to the funds ExCo and Board as require

The successful candidate will have gained significant managerial experience in a similar Fund Management environment. While you will need to have a detailed understanding of the FCA and regulatory requirements relevant to a Fund Manager, as important will be your ability to work under your own direction and to interact with and influence at all levels.

This is an excellent opportunity to join a well-established acquisitive business in a senior and influential role that for the right person may in time result in CF10/11 designation for the Fund Management business.

So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to

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