Assistant Manager - Compliance
- Salary£40k - £45k Annually
- LocationCity of London, City of London
- SectorCompliance & Regulation, Fund/Asset Management
- PublishedMarch 16th 2012
Assistant Manager - Compliance needed for top London based Investment Manager.
- You will report in to the Number 2 in the compliance team and the role will focus on the full range of products, including, derivatives, equity, bonds, treasury, collective investment schemes, property asset management, etc.
- Provide Compliance services to all UK and non-UK regulated Group Companies that fall under the remit of the UK Compliance team.
- Carry out compliance monitoring using a risk based sampling methodology including follow up reviews. Ensure that the necessary disclosures and transaction reporting requirements are being met.
- Assisting on regulatory projects.
- Maintain effective working relations with the firm's regulators and external auditors.
- Advisory - act as a central point of reference and expertise. Provide advice proactively on UK and non-UK financial services compliance matters in connection with both existing and new business proposals.
- Training to promote awareness of regulatory 'training and competence' requirements. Assist with the identification of appropriate training arrangements including the provision of in-house training.
Skill set required:
- Proven track record working in compliance in the fund management industry.
- Experience carrying out a generalist compliance role, including monitoring, or a pure monitoring background looking to broaden in to a more generalist compliance role will be considered.
- Strong ability to build relationships with colleagues, other teams and the business.
- Strong communicator.
- Able to work as part of a flat team structure.
- Proactive and hands on approach to work.
- Knowledge of UCITs and other funds structures is desirable.
- Ability to interpret rules, regulations, statutes etc. and to identify potential problems.
- Pro-active and enquiring approach to actual and potential business activities.
To apply, or to discuss in more detail, please contact Liz Slaughter on firstname.lastname@example.org
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