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Compliance Manager

Information About This Job

Job Title: Compliance Manager
Location: London
Contact Name: Ben Kinley
Contact Email:
Job Published: over 1 year ago

Job Description

We are recruiting on behalf of a London based asset management firm who are looking to appoint an experienced Compliance Manager.


About The Role

The Business Integrity and Compliance team plays an important role in reinforcing firm’s reputation as a responsible investor; ensuring the firm meets its regulatory commitments with respect to the FCA, having systems and controls in place to counter the risk that the firm might be used to further financial crime and working to enhance private sector standards in financial crime management in the firm’s target geographies.

The Compliance Manager will be focused on the effective management of regulatory compliance risk and the design, implementation and adherence to the compliance arrangements of the firm’s operations as well as overseeing the operations of the compliance team. In parallel, the Manager will promote the importance of business integrity and compliance both within and outside of company. In addition, the Manager may be required to provide support to the team’s Business Integrity functions.


Key Responsibilities

  • Support the design, implementation and management of controls designed to effectively and efficiently meet the firm’s FCA regulatory requirements

  • Handle compliance matters and queries arising from the firm’s operations in relation to FCA regulations, data protection and the Freedom of Information Act. This includes compiling all relevant FCA regulatory returns and managing all data protection or Freedom of Information Act requests.

  • Manage and oversee the day to day work of the compliance team which consists of a Compliance Executive and a Compliance Associate

  • Oversee and support the implementation of the firm’s KYC documentary processes and systems including the sanctions monitoring systems.

  • Manage, and oversee all reports received through, the firm’s Whistleblower and Complaints systems which may include supporting any investigation into such reports.

  • Ensure the effectiveness of current policies, procedures and controls by undertaking monitoring of selected areas in line with a compliance monitoring programme and assist with the ongoing enhancement of that monitoring.

  • Support in facilitating the identification, assessment and mitigation of Compliance risks, and manage the updates to the Compliance risk registers as required. This will include managing and operating IT systems which support the the firm’s compliance programme.

  • Assist in the drafting and updating of firm and group wide policies and procedures and deliver compliance training to the business, to include the annual AML, ABC and Compliance training programmes.

  • Keep abreast of UK compliance requirements relevant to the firm’s operations as well as understanding the compliance obligations in the other countries in which the firm operates, and assist in responding to regulatory change where required.

  • Research the regulatory implications of new products or initiatives being considered

  • Develop the investment teams’ knowledge of compliance requirements by delivering tailored training and updates at team meetings.

  • Assist in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings.

  • Support the team’s internal and external communications programme. This will include managing the Business Integrity and Compliance intranet site.

  • As and when required, provide support to the work of Business Integrity. This may include conducting research or undertaking monitoring commitments for portfolio companies which involves helping prepare materials, collecting data and organising monitoring schedules.


Skills & Experience


  • Detailed knowledge of FCA compliance requirements for UK regulated financial institutions, particularly in private equity, asset management or investment banking;

  • Over 10 years’ exper­ience in managing compliance issues in a UK regulated financial institution, with at least five years in private equity, asset management, investment banking or alternative investment fund management; Experience with operations across multiple jurisdictions and experience with an alternative investment fund manager would be advantageous.

  • Demonstrated interest in emerging markets, especially the target geographies in Africa and South Asia;

  • Experience in managing people in a small team environment;

  • University degree and preferably a postgraduate qualification in a relevant discipline.


Technical Skills:

  • Sound knowledge of the FCA handbook, in particular PRIN, SYSC, COCON, COND, APER, COBS, CASS, and MAR as they apply

  • Experience in the design, implementation and management of controls relating to the relevant FCA regulations

  • Sound knowledge of and experience in implementing Personal Data related legislation

  • Knowledge of a range of compliance methodologies, tools and techniques;

  • Experience in developing policies and procedures as well as preparing and delivering training

  • Experience with the management of controls relating to market abuse and conflicts of interest

  • Proven capability in evaluating and developing the compliance framework for new operating structures

  • Experience in managing compliance across offices in several different jurisdictions including emerging market jurisdictions

  • Existing thematic knowledge of integrity and compliance issues in the firm’s target geographies would be beneficial;



  • Financial Crime compliance, preferable in private equity or investment banking

  • Managing AML/CTF, sanctions or anti-corruption issues within the UK financial services sector

  • Detailed knowledge of KYC documentary requirements would be advantageous


Person Specification

  • Systematic approach to work with an attention to detail

  • Clear ability to look and plan ahead

  • Proactively identify and address issues

  • Capability to identify and assess strategic implications of issues

  • Proficient in managing diverse views and developing a consensus around standards

  • Proven ability to effectively manage a small team

  • Demonstrated ability to independently manage and prioritise a busy and diverse workload with a range of deliverables for a variety of stakeholders

  • Confident and articulate, with excellent written and verbal communication skills

  • Strong team player who enjoys working as part of a close team and willing to collaborate and support the team on a variety of different initiatives and tasks

  • Highly motivated and results driven

  • Sound research and analytical skills

  • Good report writing ability

  • Competency in one or more languages relevant to the firm’s target geographies would also be an advantage.


Additional Information

The client is regulated by the FCA as a MiFID exempt Venture Capital firm, the company conducts business on its own account and does not hold client assets.

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