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Senior Compliance Manager

Information About This Job

Job Title: Senior Compliance Manager
Contract Type: Permanent
Location: Henley on Thames
Contact Name: Mark Foy
Contact Email:
Job Published: 10 months ago

Job Description

Lawson Chase is working closely with a high profile management company in recruiting a Senior Compliance Executive.


About The Role

The primary role is to oversee compliance pre and post trade in accordance with the UCITS regulations/ ESMA guidelines and fund-specific investment restrictions as contained in the prospectus or investment management agreement. Ensure adequate controls are in place to meet regulatory requirements.


Key Responsibilities

  • Assist with pre trade authorisation to ensure fund restrictions are adhered to for all accounts

  • Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective parties to ensure rectification. Documenting and/or confirming completeness of all incidents prior to recording into the incident system.

  • Perform the review of regulatory and client guidelines for conversion into rules for compliance monitoring systems working with the current OMS, Aladdin. Documenting the requirements through the established processes.

  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet FCA regulatory requirements

  • Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position.  This will involve working on a rota system to cover the hours of 8am until 6pm with the Henley and Hyderabad teams

  • Advising Front Office and other interested parties on compliance matters

  • Ongoing Review of relevant processes and procedures to ensure best practice

  • Attend selected meetings/committees as a representative of Compliance

  • Ensure all activities are in line with TCF outcomes

  • Collaborate with global teams on implementation of regulatory changes as needed.

  • You may be required to work such additional hours as are necessary for the proper performance of your duties.


Skills & Experience

  • Significant experience in Compliance, within asset management or financial services

  • Experience and exposure to advisory responsibilities, policy, procedures and processes.

  • Good knowledge of requirements of FCA Handbook, in particular, COLL, COBS, SYSC would be preferable

  • Knowledge of derivatives would be preferable

  • Strong analytical skills along with computer proficiency

  • Degree required

  • A professional qualification is desirable but not essential


Key Personal Attributes

  • Strong interpersonal skills to be able to work effectively with a network of colleagues

  • Proven relationship management skills

  • Able to operate effectively and succeed in a complex, non-hierarchical, entrepreneurial environment

  • Able to motivate staff with whom there is no direct reporting relationship

  • Personal credibility

  • Resolves issues by escalation or decision, as appropriate

  • Contributes effectively in meetings

  • Displays well developed and effective negotiating skills

  • Builds close working relationships with other areas of the business

  • Is clear, articulate, credible and persuasive in all communications

  • Liaises effectively at all levels, internally and externally

  • Shares product expertise with colleagues

  • Maintains high standards for written and verbal presentations

  • Effective time management skills

  • Excellent interpersonal skills, highly organised

  • Ability to work under pressure

  • Excellent team player

  • The ability to interact with senior management and investment professionals

  • Strong written and oral communication skills




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