Senior Compliance Manager (6 month FTC)

Compliance Professionals; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Manager to lead compliance initiatives and ensure adherence to regulatory standards. In this pivotal role, you will manage the delivery of compliance reports, oversee risk-based monitoring programs, and provide training on regulatory matters. Your expertise will guide the organization in navigating complex regulatory landscapes, ensuring compliance with FCA and SEC requirements while supporting new business developments. This is an exciting opportunity to make a significant impact in a dynamic investment management environment, where your analytical skills and attention to detail will be highly valued.

Qualifications

• 10+ years in finance, ideally investment management and compliance.
• Management level experience with FCA and SEC regulations.

Responsibilities

• Manage delivery of compliance reports and policies for regulated entities.
• Monitor UK and US regulatory changes for compliance advice.
• Draft responses and submissions to regulators and clients.

Skills

Regulatory Compliance

Risk Management

Anti-Money Laundering

Anti-Bribery & Corruption

Analytical Skills

Communication Skills

Education

Bachelor's Degree in Finance or related field

Professional Compliance Certification

Job description

THE COMPANY: Our client is a large British investment manager based in the West End. They are looking for a Senior Compliance Manager to proactively support the execution of the Compliance Plan and Compliance Monitoring Programme.

THE RESPONSIBILITIES:

1. Assisting or managing the delivery of Periodic Reports for Group and UK regulated entity boards, Risk and Compliance Committee (“RCC”) and Fund Boards as required;
2. Assisting or managing the delivery of Group and UK regulated entity compliance policies and procedures and risk-based compliance monitoring programme;
3. Assisting or managing the delivery of Group and UK regulated entity risk-based Anti-Money Laundering and Anti-Bribery & Corruption policies and procedures;
4. Development and roll out of training and knowhow relating to regulatory compliance matters pertinent to the Firm and its funds/ clients;
5. Monitoring UK and US regulatory horizon including relevant publications to ensure timely and relevant advice to the business to enable it to remain in compliance with applicable rules and regulations;
6. Oversight of jurisdictions where the UK regulated entities operate or products are registered or distributed to ensure that relevant obligations are met (e.g. investment advisor registration with the US SEC);
7. Timely and accurate drafting of responses, submission of filings, reports and returns to regulators, clients and the UK regulated entities material external service providers;
8. Involvement in new business developments, specifically compliance related issues and requirements.

EXPERIENCE REQUIRED:

1. A minimum of 10 years’ experience in the finance industry, ideally investment management and in a compliance function.
2. Performed at management level.
3. Detailed knowledge of the rules and requirements of the FCA and other relevant regulators such as the SEC, and the regulatory environment in which the UK regulated entities and Group operates.
4. Ability to manage and prioritise multiple tasks.
5. Ability to communicate at all levels of the organisation, including board level.
6. Highly analytical, with significant attention to detail.

For further information please contact Spencer Evans.