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Senior Compliance Manager (Exclusive Assignment)

  • Location

    Manchester

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £45,000 - £65,000 + bonus + benefits

  • Consultant:

    #

  • Email:

    rabelson@merje.com

  • Job ref:

    RA/15061

  • Published:

    3 months ago

The Client-

My client is a leading UK based special situations private equity fund manager. The firm embraces compliance culture and desire to be best in class.

The Role

They are currently seeking a Compliance Manager to take on what is a unique and broad based role where you will be afforded the chance to make your mark at one of the leading investment managers in its field and evolve the role accordingly. 

Key Responsibilities:

  • Run the firm’s compliance monitoring programme and to provide support to the existing Compliance Team all aspects of compliance and related areas.
  • Produce management information in relation to compliance matters and chair monthly partner compliance meetings
  • Review and enhance existing compliance monitoring arrangements in response to regulatory developments
  • Develop best in class policies, procedures and controls to ensure continued compliance with the relevant FCA requirements and a deep understanding amongst investment professionals at the firm.
  • Provide a rolling compliance training programme for staff in key areas of ABC, AML, market abuse risks etc.
  • Monitor regulatory developments, carry out impact assessments and lead working groups to deliver implementation where required.
  • Consider regulatory requirements for new business lines and fundraisings.
  • Assist the firm’s efforts in general legal/regulatory requirements such as data protection, business continuity, cyber security etc.
  • Promote and monitor good corporate governance and regulatory compliance across portfolio investments.
  • Produce management information in relation to compliance matters and chair monthly partner compliance meetings.
  • Monitor investment compliance, including KYC and Sanctions List checks.
  • Potential for involvement in wider business activities.

Person Specification:

 

  • Proven experience of working in an FCA environment in a compliance role.
  • Self-starter:  ability to take initiative and develop their own ideas
  • Good Communication skills – ability to interact with senior personnel and investment team to promote good behaviours throughout organisation
  • Relevant experience in asset management desirable. Working knowledge of AIFMD and FCA Handbook essential.
  • Good judgement and ability to interpret requirements in a commercial environment and provide pragmatic effective solutions.
  • Can do attitude and thrives on challenges.
  • Legal background desirable but not essential.

This is a ‘hands on’ role working as part of a small dedicated team and the successful candidate will have a flexible approach and a ‘can do’ attitude to problem solving. The ability to work autonomously is important as is the ability to manage multiple work flows.

Salary range is broad as my client is keen to consider individuals at varying levels.  It will be entirely commensurate with experience but will reflect the significance of the role.

My client has offices in both Manchester and Leeds and would be happy to base this role in either office subject to the candidates preference.  

MERJE have been appointed exclusively on this role and any CVS sent direct to the client will be forwarded through to MERJE for consideration.