Compliance Manager / Generalist - Asset Management

Recruiter
LMA
Location
London
Salary
Competitive
Posted
05 Aug 2017
Expires
15 Aug 2017
Sector
Accounting
Contract Type
Permanent

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.