Compliance Manager

Marks Sattin; Greater London; Sur place; GBP 70 000 - 110 000; Plein temps

Résumé du poste

Marks Sattin in London is seeking a Compliance Manager for a Specialist Alternative Asset Manager. The role is broad and hands-on, reporting to the Head of Compliance and supporting the UK regulated business across a range of compliance matters.

You will own the Monitoring Plan, advise the Investment and Distribution Teams, work on Financial Promotions, oversee best execution and product governance, and report issues to senior management and the board. 5+ years of FS compliance required.

Qualifications

• 5+ years of compliance experience.
• FS compliance experience within Investment Manager or Asset Manager.
• Alt/private markets experience would be a plus.
• Generalist compliance with monitoring, financial promotions and best execution.
• A hands-on doer who rolls up their sleeves.

Responsabilités

• Owning the Compliance Monitoring Plan.
• Advising the Investment and Distribution Teams.
• Working on Financial Promotions.
• Overseeing best execution and product governance.
• Reporting any issues into senior management and board.

Connaissances

Compliance monitoring

Financial promotions

Best execution

Product governance

Description du poste

Compliance Manager

London

Specialist Alternative Asset Manager

I am working with a Specialist Alternative Asset Manger on the look out to bring in a Compliance Manager. This will be a broad, hands-on role reporting directly into the Head of Compliance, with real responsibility to support the UK regulated business across a range of compliance matters.

Your responsibilities will include:

• Owning the Compliance Monitoring Plan


• Advising the Investment and Distribution Teams


• Working on Financial Promotions


• Overseeing best execution and product governance


• Reporting any issues into senior management and board

Key requirements:

• 5+ years Compliance experience


• Financial Services compliance experience, specifically within Investment Manager or Asset Manager


• Alternatives or private markets experience would be a plus


• Generalist compliance professional with experience in compliance monitoring, financial promotions and best execution


• A doer who isn't afraid of rolling up their sleeves