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Compliance Manager (Retail Distribution)

Information About This Job

Job Title: Compliance Manager (Retail Distribution)
Contract Type: Permanent
Location: London
Industry:
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: 4 months ago

Job Description

We are looking to hear from Compliance Managers with Retail Distribution Experience for new a role within a London based Asset Management Firm.

 

About The Role

To analyse and interpret FCA regulations, and other relevant rules and legislation, and to provide compliance support to product and operational projects. The role involves a high degree of autonomy, with the Compliance Manager expected to take the lead on a number of regulatory projects and to deputise for the Head of Compliance when required.

 

Key Responsibilities

The role will focus on the company's retail distribution activities. Main activities will include:

  • Contributing to the development of Compliance policy.

  • Identifying regulatory and legislative changes which might impact the business and provide practical guidance on any new processes or system changes that may be required.

  • Providing input to responses to FCA and/or IA consultation papers and guidance as required.

  • Providing compliance input and guidance to projects and working groups on new product, systems and operational developments within the business.

  • Ensuring that regulatory requirements are appropriately addressed in the development of new products, systems implementations and operational enhancements.

  • Developing and maintaining relationships with business teams and providing regulatory consultancy support, technical expertise and training as required.

  • Liaising with Compliance and Risk colleagues to assist with the embedment of regulatory change and business developments within the firm’s assurance activities.

  • Providing regulatory review and sign-off of marketing literature.

  • Reviewing SARs and other AML matters, including liaison with the firm’s Retail Operations team and third party TA.

  • Developing and maintaining effective relationships with the technical compliance teams of external business parties.

  • Travel will be required on a fairly frequent (e.g. at least monthly) and flexible basis between offices, and the offices of the various third-party administrators.

 

Candidate Specification

  • Likely to be a graduate (possibly with an accountancy/legal qualification), preferably with a further professional qualification (e.g. IMC).

  • Likely to have 5-7 years’ relevant compliance experience.

  • Must have knowledge and experience of retail fund distribution and supporting operations.

  • Knowledge and experience of European/international fund distribution useful but not essential.

  • Must have proven project management skills (possibly with relevant qualification).

  • Must be a small company person who would be comfortable with the company’s flat, relaxed but professional management structure.

  • Strong people skills, able to communicate and influence at all levels within the business and take issues forward with senior management.

  • Self starter comfortable working on their own initiative without requiring close day to day supervision, i.e. able to analyse, interpret, and implement regulatory change.

 

Ref: | Published: 22 Apr 2018