Compliance Manager - Asset Management

Black Swan Group; England; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading investment management firm in London is seeking a Compliance Manager to enhance their compliance programme. The successful candidate will manage compliance monitoring, review financial communications, and oversee team training. Key qualifications include a Bachelor's degree and a strong understanding of UK financial regulations. This role provides an excellent opportunity to contribute to the firm's success within a dynamic compliance team.

Qualifications

• Generalist compliance experience with a focus on UCITS compliance and ideally SEC exposure.
• Strong knowledge of UK financial regulations and industry best practices.

Responsibilities

• Manage the Compliance Monitoring Programme.
• Review financial promotions, marketing and client communications.
• Monitor trading activity to detect potential market abuse.
• Maintain working knowledge of regulatory frameworks.
• Train and manage junior members of the compliance team.

Skills

Analytical skills

Problem-solving

Communication skills

Attention to detail

Education

Bachelor's degree in Finance, Economics, Law, or a related field

Job description

Overview

Compliance Manager – Asset Management

Company overview: Our client is an investment management firm based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Manager to join their Compliance team and contribute to the success and growth of the firm.

Role Overview

As a Compliance Manager, you will play a crucial role in maintaining and enhancing the firm's compliance programme, holding generalist responsibilities. You will report to the Head of Compliance and will manage a junior member of the team. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.

Key Responsibilities

• Manage the Compliance Monitoring Programme
• Review financial promotions, marketing and client communications
• Monitor trading activity to detect potential market abuse
• Daily trade, best execution and liquidity monitoring
• Maintain working knowledge of regulatory frameworks
• Lead on annual market conduct review and risk assessment
• Creating, managing, and enhancing policies and procedures
• Train and manage junior members of the compliance team
• Ad hoc project work

Requirements

• Bachelor's degree in Finance, Economics, Law, or a related field.
• Generalist compliance experience with a focus on UCITS compliance and ideally SEC exposure.
• Strong knowledge of UK financial regulations and industry best practices.
• Excellent analytical and problem-solving skills with high attention to detail.
• Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.

If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.

For more details, please contact Jon Pettet at [e-mail]