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Senior Compliance Manager & Deputy to Head of Compliance
Job summary
A leading investment management firm is seeking a Compliance Manager to ensure regulatory compliance and support risk management efforts. The successful candidate will work closely with the Head of Compliance and oversee compliance monitoring processes. Applicants should have at least five years of relevant experience and a strong understanding of UK regulatory frameworks. This is an excellent opportunity to join a reputable organization and contribute to a robust compliance culture within the firm.
Qualifications
- Minimum of five years generalist Compliance experience.
- Knowledge of UK regulatory frameworks including Client Assets and SMCR.
- Familiarity with Data Protection and Transaction Reporting is a plus.
Responsibilities
- Step in for the Head of Compliance as needed.
- Ensure business initiatives align with compliance standards.
- Respond to compliance-related queries promptly.
- Conduct due diligence on potential clients.
Skills
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.