Compliance Manager - Asset Management

Overview

Compliance Manager – Asset Management

Company overview:
Our client is an investment management firm based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Manager to join their Compliance team and contribute to the success and growth of the firm.

As a Compliance Manager, you will play a crucial role in maintaining and enhancing the firm's compliance programme, holding generalist responsibilities. You will report to the Head of Compliance and will manage a junior member of the team. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.

• Manage the Compliance Monitoring Programme
• Review financial promotions, marketing and client communications
• Monitor trading activity to detect potential market abuse
• Daily trade, best execution and liquidity monitoring
• Maintain working knowledge of regulatory frameworks
• Lead on annual market conduct review and risk assessment
• Creating, managing, and enhancing policies and procedures
• Train and manage junior members of the compliance team
• Ad hoc project work

• Bachelor's degree in Finance, Economics, Law, or a related field.
• Generalist compliance experience with a focus on UCITS compliance and ideally SEC exposure.
• Strong knowledge of UK financial regulations and industry best practices.
• Excellent analytical and problem-solving skills with high attention to detail.
• Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.

If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.

For more details, please contact Jon Pettet at