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COMPLIANCE ADVISORY MANAGER – ASSET/FUND MANAGEMENT COMPLIANCE EXP REQUIRED 

Ref: 4089D

£70K - £80K + Bonus & Bens                                             Hybrid (3d pw WFH) London

 


We are recruiting a compliance advisory manager for our client, a leading Investment Management Group. Providing advice and guidance to a portfolio of Appointed Representatives (“ARs”) and junior colleagues, duties will include;

  • Leading ongoing and ad hoc tasks as required, in particular around signing off financial promotions and compliance reviews
  • Developing deep relationships with the portfolio of clients and meeting their needs; identifying client risk
  • Resolving issues raised by other members of the team and providing technical QA on the work products of others
  • Being responsible for identified technical areas relating to AR activities or implementing changes in regulation as directed.
  • Assisting with devising and delivering the business plan for the Client Advisory team and contributing to meeting team objectives
  • Management of business lines or other members of the Client Advisory team
  • Enhancing own understanding of regulatory landscape and offers learning opportunities for others
  • Following the set policies and procedures around managing conduct risk, financial promotions and product governance

 

You should have several years broad based experience in a compliance role in asset/fund  management whether in a regulated firm or from a compliance consultancy. This must include good knowledge of suitability & fin proms and some knowledge of CD, able to interpret complex regulatory standards and turn them into policies, processes or procedures that can be implemented in the business.

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com  (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

 

 

Apply Here

 

 

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.