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Compliance Manager / Compliance Officer

Synchronicity Group
Job LocationLondon
EducationNot Mentioned
SalarySalary negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

A small but very successful and well-regarded fund manager are seeking a high calibre and highly experienced compliance professional to join their team, initially as a Compliance Manager but to then assume full responsibility for compliance when the existing Compliance Managers retire in 1-2 years. The role will report into the CFO who currently holds the SMF 16/17.This is a broad, generalist, hands-on compliance role covering a range of responsibilities including;o Quarterly AIFMD regulatory reportingo Monthly AIFMD risk monitoringo Monthly CMAR Reporting and preparing for annual CASS audito Monitoring major holdings daily and making disclosures if necessaryo Reviewing presentations and factsheets before use or publicationo Periodic compliance monitoring using programmeso Annual or more frequent reviews of policies, codes, systems and controls, compliance manual etc.o Various fund admin. tasks relating to the UCITS and the AIF managedo The firms compliance approach to ESG and Stewardship Code ReportingThe firm manage tech-focused invests (no retail clients) with assets under management >£1.5bn including a Dublin UCITS OEIC and a UK listed Investment Trust.Key candidate requirements:

  • Strong academics and a good degree from a well-regarded university - this is essential
  • Senior level compliance or legal experience in financial services, especially long only investment management
  • Strong interpersonal and communication skills, particularly when writing, reviewing and revising reports and reporting to boards
  • Being able to work as part of a small, friendly, high-calibre team
  • Being enthusiastic and diligent with a flexible approach in a rapidly changing environment, able to meet deadlines, deal with ad hoc requests and overcome challenges
  • Good IT skills, confidence working with Microsoft Office, particularly Excel
    • Desirable candidate requirements
  • A legal qualification and experience helpful but not essential
    • This opportunity could possibly suit an experienced high calibre compliance professional looking to move to a smaller outfit, with a greater variety of compliance tasks and responsibilities, who, in time, would enjoy the challenge of creating a best in class compliance function. Required skills
  • Compliance
  • Investment Management
  • UCITS
  • Fund Management
  • AIFMD

    • Keyskills :
    Compliance Investment Management UCITS Fund Management AIFMD

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