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Compliance Advisory Manager - Fund Oversight

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

An Asset Management business based in London that are looking for a Compliance Manager to join their business in an advisory role working with all elements of the business. Candidates should have a strong Compliance background from within a similar advisorytype role working closely with a Funds business. Experience of ACD strongly preferable.Main Responsibilities:

  • Undertake the annual Compliance Risk Assessment Process and in formulating the Compliance Monitoring Programme for the ACD, Fund Governance and Oversight, Investment Management and Product Management teams
  • Undertake compliance monitoring reviews, completing work to a high standard in a timely manner identifying risks, providing feedback and advice to the relevant risk owners
  • Oversee and advise on the resolution of compliance issues and errors and breaches specific to the ACD, Fund Governance and Oversight, Investment Management and Product Management teams
  • Assist in maintaining and updating the risk-based compliance framework to ensure adequate identification, assessment, communication, control and monitoring of compliance risks
  • Provide technical advice, guidance and training on compliance matters of relevance to the ACD, Fund Governance and Oversight, Investment Management and Product Management teams, obtaining guidance and assistance from the Head of Compliance and MLRO as required
  • Assist the Head of Compliance with the Horizon Scanning process by pro-actively identifying and communicating regulatory changes, including FCA non-Handbook guidance, enforcement notices,
  • Act as a mentor to the more junior members of the team
  • Develop and maintain positive working relationships throughout the business but in particular with the ACD, Fund Governance and Oversight, Investment Management and Product Management teams
Job Requirements:
  • Minimum 7 years Compliance experience, ideally from within a similar Wealth or Asset Management business.
  • Strong Funds knowledge.
  • Degree educated.
  • Excellent communication skills, both written and oral.
Unless otherwise stated, candidates must have the right to work in the UK.The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannotreply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

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