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Senior Compliance Manager, Funds

Closing date
26 Feb 2021

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Contract Type
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Job Details


To manage the Compliance Advisory & Policy team. Monitor, analyse and liaise with the business to implement regulatory change/developments/best practice applicable to the business and to advise the business on regulatory matters.

Maintain and promote effective compliance organisational practices to ensure adherence with applicable regulatory requirements

Key Accountabilities and Main Responsibilities

  • Ensure the Compliance Advisory & Policy team has sufficient resources. Effective direct management of the Compliance Advisory & Policy team.
  • Ensure the day-to-day activities of the Compliance Advisory & Policy team including required sign-offs and approvals are undertaken in a timely manner (and as specified in the Compliance policies and procedures).
  • Ensure that effective and timely advice is provided on compliance matters and regulatory change and that relevant compliance policy and controls are created, managed and communicated effectively.
  • Ensure that regulatory developments are monitored and their relevance and impact are communicated to the business.
  • Advise the business on regulatory matters around the launch of new funds, changes to and the closure/merger of existing funds (including liaison with the Product team and their communications with the Regulator/Depositary).
  • Provision of advice and guidance to the business on Compliance policies and procedures
  • Assist and support the Compliance Director in the ongoing maintenance, enhancement, development and operation of compliance training programs and activities for the UK entities so that they remain current and UK employees have appropriate compliance knowledge and awareness.
  • Assist and support the Compliance Director as required.

Experience & Personal Attributes
  • At least 10 years' experience in asset management / investment funds compliance
  • Experience of managing a team
  • Good understanding of FCA regulatory requirements applying to investment management and of the rules relating to collective investment schemes, in particular the responsibilities of an Authorised Fund Manager
  • Hands on knowledge of SMCR
  • Educated to degree level
  • Strong sense of integrity and ethics
  • Communication
  • Attention to detail
  • Results focused
  • Technical awareness
  • Commercial awareness
  • Team management
  • Team working
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