Senior Compliance Manager

Compliance Professionals; City Of London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading advisory firm in the UK is seeking an experienced compliance professional to manage the UK compliance function. Responsibilities include compliance monitoring, regulatory reporting, and policy development. The ideal candidate has over 8 years of experience in asset or wealth management compliance and a strong understanding of UK regulatory requirements. This role offers the opportunity to work in a dynamic environment and contribute to team goals.

Qualifications

• Prior experience working in an asset management or wealth management compliance role.
• Familiarity with UK regulatory requirements, including FCA rules and money laundering requirements.
• Knowledge of SEC requirements and other jurisdictions would be an advantage.

Responsibilities

• Manage the UK compliance function ensuring FCA compliance.
• Conduct compliance monitoring covering UK and US requirements.
• Handle regulatory reporting using FCA GABRIEL system.
• Review suitability of private client portfolios.
• Assist in the delivery of training and briefings.

Skills

8+ years of experience

Excellent written/verbal communication skills

Exceptional attention to detail

Good interpersonal skills

Job description

THE COMPANY:

Our client is a leading advisory firm, providing investment management services for individuals, families, charities and institutions.

THE RESPONSIBILITIES:

• Day to day responsibility for managing the UK compliance function to ensure compliance with FCA requirements, including:
• Compliance monitoring activity, covering applicable UK and US requirements.
• Regulatory reporting (for example, using the FCA GABRIEL system).
• Reviewing financial promotions and publications, including promotional material for the Funds and strategies.
• Reviewing suitability of private client portfolios.
• Preparing and assisting in the delivery of training and briefings.
• Supporting the business, providing advice and dealing with queries.
• Liaising with US colleagues in compliance and other areas, representing UK compliance in meetings.
• Assisting in the preparation of reports and committee papers.
• Participating in and managing projects relating to new regulation and new processes.
• Product governance and support for the institutional team in respect of the UCITS funds.
• Contributing to policy and procedure development, and maintenance of relevant compliance registers and documentation.

EXPERIENCE REQUIRED:

• Must be able to work 4 days a week in a London office
• 8+ years of experience.
• Prior experience working in an asset management or wealth management compliance role.
• Familiarity with UK regulatory requirements, including FCA rules, money laundering requirements and data protection.
• Knowledge of SEC requirements and other jurisdictions would be an advantage.
• Excellent written/verbal communication skills.
• Exceptional attention to detail, good interpersonal skills, and an orientation towards the achievement of team goals.

For further information please contact Spencer Evans