Senior Compliance Advisory Manager - Investment Management

Altus Search
02 Sep 2017
19 Sep 2017
Contract Type

Our client, an investment management company is looking for a Senior Compliance Advisory Manager to provide advice, guidance and support to their investment management business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.

Duties Include:

  • Ensure that the business maintains the requisite regulatory standards by following internal policies and external UK and overseas regulatory guidelines.
  • Assist in updating and drafting of compliance policies and procedures.
  • Provide detailed compliance advice and guidance in relation to existing and new business initiatives.
  • Communicate new methods and procedures on a fund to all relevant staff.
  • Co-ordinate with other departments on miscellaneous fund queries and reconciliations.
  • Develop and deliver compliance training as appropriate.
  • Liaise with and provide guidance to the front office on compliance issues.
  • Prepare compliance board reports.
  • Preparation of regulatory filings.
  • Monitor changes in business practices and products to ensure that compliance procedures and controls are adequate to cover them.

The preferred candidate will ideally have funds management and investment management background. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.

If you are interested in this opportunity, please email your C.V. to or call on for a confidential discussion.

Our client is an equal opportunity employer and values diversity in the company. The company does not discriminate by race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Altus Search Ltd is acting as an employment agency in relation to this role.

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