Compliance Manager - Advisory & Monitoring - Asset Management

Generalist investment management advisory and monitoring role. Working across a variety of areas within a small and busy compliance team.

Client Details

Equities specialist Asset Manager.

Description

• Advising the business on compliance matters
• Carry out compliance monitoring
• Carry out regular and ad-hocBAU compliance tasks as per allocation, including but not limited to:
  • Financial promotions review,
  • AML, RFP and DDQ review,
  • Staff conflicts management,
  • FCA returns,
  • SMCR related tasks,
  • Restricted list maintenance,
  • Investment related Bloomberg AIM tasks
• Assist with Compliance projects as required

Profile

• Generalist Compliance skillset within
• Previous experience of working within an Investment Management environment
• Good working knowledge of MiFID II topics, COLL, CASS, AML, SMCR, MAR
• Good knowledge of UCITS funds
• Experience of using Bloomberg AIM and StarCompliance desirable

Job Offer

• Competitive salary of £70,000 to £90,000 per annum, based on experience.
• Opportunities to work within a respected specialist Asset Management firm.