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Compliance Manager, Europe

Information About This Job

Job Title: Compliance Manager, Europe
Contract Type: Permanent
Location: London
Industry:
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: about 1 year ago

Job Description

We are seeking a Compliance Manager to join a global institutional fixed income Asset Management firm, specialising in corporate credit and high yield bonds.

 

Key Responsibilities

  • Support Head of Compliance for Europe on all aspects of compliance for the firm.
  • Support corporate governance responsibilities for the firm’s entities worldwide.
  • Support the design, delivery and review of the Compliance Monitoring Program.
  • Collaborate on compliance training for new and existing employees and ensure that internal training and assessment procedures reflect changes in applicable laws and regulation as well as industry best practices and standards.
  • Ensure that new/changed rules and regulations are identified, assessed, and translated into policy changes.
  • Prepare and support the business for regulatory inspections and annual regulatory audits.
  • Keep records on conflicts of interest, personal account dealing, gifts & entertainment, outside business interests and political/charitable contributions.
  • Help maintain open, clear, concise and honest relationships with regulators.
  • Support the annual risk assessment of the business to determine exposure to financial crime and data protection risks.
  • Review marketing material.
  • Collaborate with the US team
  • Assist with on-boarding new clients and client due diligence process.
  • Make necessary regulatory filings.

 

Qualifications / experience:

  • Demonstrable experience of working in an asset management company’s compliance function.
  • Knowledge and experience in applying rules and regulations.
  • Knowledge of UCITS and non-UCITS regimes, including rules regarding cross-border marketing.
  • Knowledge and understanding of basic legal documents preferred (NDAs, rebate agreements, etc.).
  • Fixed income experience preferred.
  • Proactive team player
  • University degree and IMC or equivalent qualification

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