Compliance Manager – Asset Manager (12 Month FTC)

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £80,000-£100,000 basic salary plus package

  • Consultant:

    Edward Manson

  • Email:


  • Job ref:


  • Published:

    19 days ago

The Client

A boutique Asset Manager is currently looking to recruit a well-rounded Compliance specialist on a 12 month fixed-term contract basis.

The Role

The Compliance Officer will be responsible for providing regulatory oversight for the firm and ensure all applicable FCA & SEC regulations and AIFMD obligations are managed accordingly.

Responsibilities will include:

  • Project work – this is varying and wide ranging. It can be preparing for new regulation, investigating potential new investments or researching specific legal or regulatory queries
  • Compilation and submission of regulatory reporting including GABRIEL, ANNEX IV, ADV
  • Maintenance all compliance policies and procedures
  • Maintenance of the Compliance Monitoring Plan
  • Maintenance of all registers i.e. conflicts of interest
  • Compilation of the ICAAP
  • Creation of compliance board reports
  • Marketing/Promotional material reviews.
  • Support for AML/ KYC completion
  • Support for FATCA/CRS completion

Key Requirements

  • 5-8 years’ relevant and broad Compliance experience preferably gained in an Investment or Asset Management environment
  • Strong communication and interpersonal skills
  • Ability to work well in a small team