Compliance Manager (12m FTC)

Compliance Professionals; Greater London; On-site; GBP 65,000 - 90,000; Full time

Job summary

Compliance Professionals in London seeks a Compliance Manager for a 12-month FTC to advise on regulatory matters and oversee AML/KYC controls. You will work with Distribution, Marketing and other teams to ensure compliant product offerings and timely regulatory guidance.

The role involves cross-border considerations and maintaining Group AML standards. Responsibilities include regulatory tracking, audit support, staff training, and promoting a strong compliance culture across the firm, with

Qualifications

• Asset management experience in a Compliance, Risk or Audit function.
• Strong AML / KYC knowledge and client classifications.
• Knowledge of the UK Financial Promotions regime.
• Understanding of Code of Ethics (PA Dealing, G&E, etc).
• Experience of Compliance Monitoring in line with standard programmes.
• Experience of Portfolio Compliance (Thinkfolio).
• Knowledge of SMCR.

Responsibilities

• Assist and advise on new business opportunities from a regulatory perspective.
• Provide timely regulatory guidance to the Distribution and Marketing teams.
• Oversee AML, KYC, Anti-Fraud, and related topics and produce MI for the Head of Compliance & Risk.
• Coordinate with groups head office and other teams, including cross-border client considerations.
• Develop and maintain Group standards on AML and related topics.
• Provide training on regulatory topics and, where relevant, deliver in-person sessions.
• Support internal and external audits and the broader Compliance Monitoring programme.
• Maintain and register Conflicts of Interest across the firm.
• Assist with regulatory developments, impact assessments, and implementation requirements.

Skills

AML / KYC knowledge

UK Financial Promotions regime

Code of Ethics

SMCR knowledge

Regulatory compliance

Compliance Monitoring experience

Thinkfolio portfolio

Tools

Thinkfolio

Job description

THE COMPANY:

Our client is a global investment management business, seeking a Compliance Manager to join the London team on a 12-month FTC basis.

THE RESPONSIBILITIES:

• Assist and advise the business when assessing new business opportunities in respect to Compliance matters
• Work with the Distribution and Marketing team and provide timely, efficient, and practical regulatory advice and guidance in respect to the product offering.
• Responsible for the oversight of the regulatory requirements relating to Anti-Money Laundering, Anti-Fraud, Anti-Bribery, and broader KYC requirements, to provide timely and accurate MI and related reports to the Head of Compliance & Risk
• Work, liaise and build relations with the relevant teams in the Group's head office, having full consideration that a substantial number of the firms' clients will be from outside G10 countries.
• Responsible for ensuring all systems and controls in relation to the above topics are robust and effective.
• Responsible for the development and maintenance and incorporating of all Group standards on AML and related topics.
• Ensuring appropriate training and education is provided on these topics, and where relevant provide in person training sessions to relevant teams.
• Work with the Head of Compliance & Risk in respect of any internal or external audit reports in respect to Anti-Financial crime topics, and the broader Compliance Monitoring programme.
• Manage, update, and consider all Conflicts of Interest that are raised with Compliance. Develop an annual review process which will accurately record, evidence, and register all the known Conflicts of Interest across the firm.
• Assist, the Head of Compliance & Risk in providing reports and escalation of relevant issues, as required, and prepare relevant communications to senior management.
• Assist in the promotion of a strong culture of compliance across all parts of the business including the updating of internal policies, procedures, and regulatory requirements across.
• Assist and manage (where applicable) with the implementation of regulatory developments, working collaboratively with the business and Head of Compliance & Risk to facilitate appropriate impact assessments, gap analysis, and relevant implementation requirements are executed to a good standard and in a timely manner.
• Develop a firm wide regulatory tracker and research relevant regulatory topics as necessary, which is fits with then relevant size and complexity of the business.
• Maintenance of Compliance Manual and associated policies, procedures, and registers.
• Over time provide strong back up to the Senior Compliance Manager to cover topics such as CASS, SMCR and some of the key front office areas of oversight.

EXPERIENCE REQUIRED:

• Asset management experience gained in a Compliance, Risk or Audit function
• Good level of knowledge surrounding AML / KYC and client classifications
• Good understanding of the UK Financial Promotions regime
• Understanding of Code of Ethics (PA Dealing, G&E, etc) and be prepared to do this work
• Experience of conducting Compliance Monitoring in line with standard industry Compliance Monitoring programmes
• Any experience of Portfolio Compliance (particularly the use of Thinkfolio)
• Knowledge of SMCR

For further information please contact Spencer Evans