Senior Compliance Manager – Investment Management

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    about 2 years ago

The Client
Our client is an award-winning investment management and financial planning business with a strong reputation across the UK. Due to ongoing structural growth, the business is looking to recruit an experienced Senior Compliance Manager to be responsible in helping to provide regulatory oversight for the firm’s Investment & Fund Management part of the business.
The Role:
  • Act as a first point of contact for the investment management business, acting as an ambassador to promote compliance awareness and good practice
  • Provide advice and assistance as requested, providing compliant pragmatic solutions
  • Assist the investment management business to manage regulatory risk, including risk identification, assessment, mitigation and control. 
  • Production of accurate and timely monthly reports regarding activity and issues arising for the Chief Risk Officer report and other quarterly reports such as the Risk and Audit Committee papers 
  • Help implement group projects, working closely with different departments to ensure compliance with operating and compliance procedures 
  • Attend and support investment management meetings, including asset allocation and fund governance meetings, and relevant investment operations meetings
  • Work collaboratively with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed, providing or assisting in delivery of training as necessary
  • In conjunction with other team members, work with the investment management central support team on proposition and standards, fact finds, investment profile reports etc.
  • As a senior member of the team, support the whole of the Risk and Compliance function to be successful 
Key Requirements:
  • Relevant Compliance experience gained within an Investment Management or Fund Management environment
  • Compliance exposure to different types of funds (UCITS; NURS; AIF) and discretionary portfolio management
  • Excellent knowledge of FCA Rules in particular SYSC, CASS, COBS, CIS, FUND and AIFMD 
  • Excellent written and verbal communication skills including the ability to influence at all levels with good judgement and decision-making skills
  • Able to demonstrate significant experience in interpreting, understanding and applying the FCA rules to achieve business focused and commercial outcomes.
  • Must be able to demonstrate significant technical experience of delivering wide-ranging regulatory guidance and solutions in a commercial environment 
  • Ability to deliver training
  • Strong analytical and numerical skills
Qualifications: Degree holder preferable; IMC/CFA, CISI Compliance Diploma