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Compliance Manager

Information About This Job

Job Title: Compliance Manager
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.con
Job Published: about 1 year ago

Job Description

We are seeking a Compliance Manager on behalf of our London based investment management focused client.


About The Company

The Firm is a leading global asset management firm with more than $830B* in assets under management. The firm provides retail and institutional clients with a diverse and comprehensive range of investment capabilities to help people get more out of life. The firm is publicly traded on the New York Stock Exchange and has about 7,000 employees in over 20 countries.

Our Lead Compliance Exec is responsible for the supervision of professionals responsible for monitoring compliance with the Code of Ethics. Managing assigned projects to meet quality and milestone targets. Communicating and training team members and internal clients on code of ethics requirements.


This London based role requires the individual to: 

  • Act as a subject matter expert on code of ethics matters (i.e. personal account dealing, gifts benefits and entertainment and outside business interests) by researching issues and advising department heads and internal clients of regulatory and policy requirements
  • Take responsibility for the day to day supervision of and review of code of ethics monitoring and support processes
  • Conduct monitoring and investigations regarding any potential conduct that violates the Code of Ethics by any employee which may include but is not limited to personal account dealing, gifts and entertainment and outside business interests
  • Review personal trading pre-clearance requests to determine if the request should be approved or denied based on the code of ethics and notifying employees of the status the of requests
  • Maintain highly sensitive files with respect to requirements under the Code of Ethics and related procedures to ensure employees' privacy in their reporting of personal trades and corporate sensitive information
  • Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various improvements to code of ethics compliance activities
  • Examine rule changes and discuss potential implications on the code of ethics policies and monitoring processes. Monitor effectiveness of policies and procedures and make changes as required


Skills & Experience

  • Demonstrable experience in the investments industry
  • Experience in the review of code of ethics related compliance matters (i.e. personal account dealing, outside business interests, and gifts, benefits and entertainment)
  • Experience with Star Compliance or equivalent personal account dealing compliance monitoring applications
  • Experience with CRD, Aladdin or Bloomberg a plus
  • Ability to independently review and understand personal account dealing statements and transaction history
  • Knowledge of data protection requirements
  • Knowledge of financial products including ICVCs, ISAs, Investment Trusts
  • Displayed and proven management and/or mentoring skills
  • Understanding of MS Office including but not limited to the ability to manipulate data to create detailed reports
  • Familiarity with regulations governing investment advisers
  • Strong interpersonal skills with the ability to interface with personnel in a broad range of areas of expertise and at various levels within the organization, i.e. legal and portfolio managers
  • Strong written and verbal communications skills
  • " Sound professional judgment, analytical skills and practicality. This includes the ability to gather information and synthesize it to identify problems trends, and opportunities
  • Ability to conduct analysis and present data in a meaningful way
  • Self-motivated, ability to multi-task and complete tasks upon assignment
  • Ability to manage staff effectively and encourage and develop others in a team environment
  • Fluency in multiple languages is desired but not essential
  • Willingness to travel within the EMEA region



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