A global investment manager are currently seeking an Assistant Manager to join their London based Compliance function.
This is a brand new role created due to the expansion of the business. The Compliance Assistant Manager will provide support to the Advisory and Guideline Monitoring teams and will report into a Compliance Director within the Advisory team.
The incumbent's Compliance coverage will encompass PA Dealing, Gifts & Entertainment, Outside Business Interests, Financial Promotions, MI Reporting, SM&CR and Monitoring, and the role will be responsible for approving/rejecting requests on PA Dealing, Outside Business Interests and Gifts & Hospitality.
Applicants should have experience of working within the Compliance function of another asset manager and be able to demonstrate knowledge of Compliance policies such as PA Dealing and Gifts & Hospitality. The successful candidate will have knowledge of FCA / SEC regulation and be comfortable dealing with senior stakeholders across the business.