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Compliance Manager - London

Logan Sinclair
Closing date
14 Jun 2021

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Contract Type
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Job Details

The purpose of this role:
  • Lead the delivery of high-quality compliance services to (i) the two UK FCA regulated entities, (ii) a prospective Swedish MiFID authorisation, (iii) a new boutique investment firm FCA authorisation and (iv) support this firms SECs registration as an investment adviser;
  • Dealing and advising the business with respect to the appropriate response to regulatory change across the UK, EU and US
  • Liaising with the various international offices the firm businesses in the delivery of the above and leading the provision of risk and compliance services to the wider group;
  • Develop skills and experience to, in due course, act as the SMF 16 (compliance officer) and SMF 17 (money laundering responsible officer) to FCA regulated entities;
  • Develop skills and experience in US investment adviser regulation and compliance;
  • Lead interactions with local and international regulators;
  • Provision of risk and compliance advice to the firms boutiques, across the regulatory environment
  • Liaise with compliance firms in the delivery of advice to the business;
  • Building and developing the compliance and operational infrastructure of the firms businesses internationally including UCITS and AIF vehicles;

Role Requirements
  • Bachelor's degree, Masters or other advanced degree preferred
  • 5-10 years minimum in financial services with experience in compliance or risk
  • Have a strong understanding of policies, procedures and controls
  • Excellent interpersonal, organizational, communication and team-working skills
  • Strong analytical skills, excellent oral and written communication skills
  • Attention to detail, project management and organizational skills
  • Aptitude to work both independently and collaboratively, manage multiple simultaneous tasks in a high-pressure, deadline-driven environment
  • Knowledge of the structuring, establishment and operation of UCITS and AIF vehicles and other international fund vehicles
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