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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:
Job Published: 5 months ago

Job Description

Our client is seeking to appoint a compliance professional to join their compliance team in London

You will support a fast-growing international investment management company.  Although the role will take primary responsibility for the firm’s investment compliance monitoring programme, working in a small team of four will provide exposure to the entire range of compliance activities across all locations.

This is an opportunity for an experienced compliance monitoring professional to join a firm where you will take ownership of the investment compliance monitoring programme, to ensure it is designed to meet the expectations of the regulator, clients and management and to have the autonomy to make any changes necessary.

You will be confident in taking the initiative in ensuring the monitoring programme is fit for purpose.  You will interact will fund managers and colleagues of all levels of seniority and be comfortable in doing so.


Key Responsibilities

The role’s main duties include but are not limited to the following:

  • Manage the investment compliance Monitoring program including:

    • Pre- and post-trade compliance

    • Best Execution and Market Abuse monitoring

    • Investigating potential breaches of investment guidelines and restrictions

    • Appropriate updates/enhancements via risk-based approach

    • Appropriate escalation to the CCO of raised flags / issues

  • SYSC-based monitoring programme


The role manages the key day-to-day operational compliance tasks including but not limited to:

  • PA Dealing reviews / approvals

  • Gifts approval

  • Restricted list review, approval and maintenance

  • Major shareholding and short selling disclosures

  • Coding investment guideline restrictions, particularly around new fund launches and as part of annual review

  • Ensure the proper and timely maintenance of the various compliance registers and logs including but not limited to:

    • PA Dealing

    • Gifts

    • Conflicts

    • Breaches

    • Complaints

  • Provide support or take the lead with key regulatory projects as and when assigned / required.

  • Provide support or take the lead with key UK and US regulatory filings as and when assigned / required.

  • Provide support or take the lead with the preparation of key management information as and when assigned / required.

  • Provide support or take the lead with the development, maintenance, or update of Compliance related policies and procedures.


Skills & Experience

  • Investment compliance monitoring experience within an institutional investment manager

  • Experience of market abuse and best execution monitoring using an automated solution (Liquidmetrix or similar)

  • Experience of coding investment guidelines and restrictions a distinct advantage

  • Knowledge and understanding of front and back office systems and how data flows between the two

  • Knowledge and understanding of UCITS, AiFMD, MAR and general FCA rules.

  • Ability to deal with colleagues of all levels of seniority.

Ref: | Published: 24 Oct 2018