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Compliance Manager (Funds)

REV & REGS LIMITED
Job LocationCity of London
EducationNot Mentioned
Salary£75,000 - £85,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypeContract , full-time 18 moths

Job Description

Rev & Regs are recruiting for a Compliance Manager (Funds) position for a large multinational Financial Services company in the City of London. This is an 18-month fixed term contract.You will provide advice and guidance to the business on regulatory matters. Maintain and promote effective compliance organisational practices to ensure adherence with applicable regulatory requirements.Responsibilities:

  • Act as Compliance representative for new funds and changes to existing funds (including liaison with the Product team and their communication with the Regulator).
  • Lead on/assist with the implementation of regulatory developments.
  • Provision of accurate and timely advice to the business on regulatory matters
  • Preparation and completion of regulatory reporting as required.
  • Assist in the day-to-day activities of the Compliance Team including required sign-offs and approvals.
  • Build a close working relationship with the different departments across the FS business and Compliance colleagues in various locations.
  • Act as alternate for SCMAP - Senior Compliance Manager, Advisory & Policy.
  • Assist and support the Senior Compliance Manager, Advisory & Policy ("SCMAP") in the maintenance and the ongoing effectiveness and implementation of all compliance policies and procedures across the business.
  • Assist and support the SCMAP 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.
  • Provide management information to governance committees and senior management, as appropriate, to demonstrate compliance or to highlight issues or trends where appropriate.
  • Assist the SCMAP in providing reports and escalation of issues as required to the UK governance committees as required.
Experience:
  • Minimum of 5 years’ experience gained in a Compliance function, in an investment management environment with exposure to and familiarity in managing related retail and institutional compliance issues.
  • Good knowledge of UK regulation as applicable in an Investment Management business, particularly COLL, FUND and COBs.
  • Ability to establish and build business relationships.
  • Educated to A level standard.
Location: Hybrid (City of London / Home)Salary: £75,000-£85,000

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