Senior Compliance Manager, Asset Management
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Salary £100,000 - £120,000 per annum
Location London
FULL_TIMEConsultant Megan Craighead
JobRef 50784533/001
Date posted 05 May 2022
london banking-financial-services/compliance 2022-06-13 2022-07-04 banking London London 11 Slingsby Place GB WC2E 9AB GBP 100000 120000 120000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
This is a senior compliance hire that is critical to the firm’s UK and European growth plans. You will be reporting into the global Head of Compliance and work as part of the global compliance function, based across the UK, Asia, and Australia. This hire will oversee the compliance programme for the UK and Europe, as well as work to launch offices and secure licenses with the UK and EU regulators.
Key Responsibilities
Work with the Risk and Compliance business partners and the business teams to implement all aspects of the Compliance Framework including:
- Compliance policies and manuals
- Compliance training, monitoring and reporting obligations
- Licence management across a number of UK and EU jurisdictions
- Assess new business and activities (especially in the asset management space) across the UK and the EU to ensure required licensing and approvals are in place
- Compliance approval of marketing and distribution collateral
- Thematic monitoring and regulatory compliance – horizon scanning related activities
- Mergers and acquisitions – compliance advisory services
- Assist staff manage personal compliance obligations
Key Requirements
- 8+ years’ experience in Compliance or Compliance related roles ideally in Investment Management
- Strong interpersonal skills, and comfortable reporting and presenting to Senior Stakeholders and business
- Previous experience with developing, implementing and continuously improved compliance framework in the UK and Europe (highly desirable)
- Previous experience with dealing with domestic and international regulators
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