Assistant Manager - Compliance

Assistant Manager - Compliance needed for top London based Investment Manager.

Job details:

• 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 liz.slaughter@blackswangroup.com

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