Compliance Manager / Generalist - Asset Management

LMA Recruitment Ltd
80000.00 - 100000.00 GBP Annual
04 Aug 2017
19 Aug 2017
Contract Type
I am currently working with a leading Investment Manager in the recruitment of a Compliance Manager.

Responsibilities of the role include:

- Provide advice to Front Office and Client relationship teams on regulatory matters
- Reviewing and approving financial promotion material
- Prepare reports for management giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place
- Monitor and review of Fund regulations and restrictions on investments
- Approving the monitors reports
- Review regulatory developments and assess the impact on business procedures and monitoring programmes
- Provide a regulatory advisory service to the business on regulatory requirements

The successful candidate will have relevant experience at a senior level as well as having a proven track record of identifying, assessing and monitoring compliance issues in an asset management firm. In return they are offering an excellent salary of GBP80,000- GBP100,000 plus excellent benefits and bonus.