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Compliance Manager - Fund Manager - London
A leading Fund Manager with some exciting growth plans is seeking an experienced compliance professional in their London office. Reporting to the Head of Compliance, this is a great opportunity to gain some broad experience advising the London and European offices on UK and EU regulatory changes, Conduct of Business, financial promotions and a wide range of compliance issues.
Responsibilities will include:
- Providing regulatory advice to both business management and teams across Europe
- Keeping abreast of ESMA Communications and Directives including MIFID, AIFMD, EMIR and CRD IV
- Reviewing FCA Communications including consultation papers, discussion papers, policy statements and market watch for industry guidance.
- Monitoring European Conduct of Business Rules and Developments whilst providing coverage to the Italy, Spain and Germany branches
- Checking compliance of branch activities, Institutional and Private Wealth, with local Conduct of Business rules
- Being an advisor to the European Sales & Marketing teams on all matters relating to financial promotions and checking that marketing literature are in compliance with applicable UK / European, Professional / Retail conduct of business standards.
- Providing regulatory training to the following business groups
- Assisting in developing a compliance monitoring plan in accordance with FCA regulatory requirements, including thematic reviews, identifying the departments and frequency of compliance reviews.
- Checking sales practices including suitability and non-advisory
- Producing compliance reports consistent with regulatory standards for review by relevant Boards, governance committee's and business management
- 5+ years experience in compliance preferably within the asset management sector
- Effective written and oral communications skills with a diverse group of associates and senior business leaders
- Strong people management and development skills
- Ability to collaborate and develop working relationships inside and outside the organisation to enable effective completion of business objectives
Location - London
£75,000 to £90,000 base (+ travel fees paid & extremely competitive package)
This is a great chance to make your stamp within a well established firm who are on a journey of growth. If you are interested in applying, please send a CV highlighting your relevant experience ASAP to Ryan Graham at r.grahamatrealstaffing.com