Job Description
Key Responsibilities:
Our client are a prestigious assset manager who are looking to hire a Compliance Manager to join their existing team
The firms Compliance Manager (CM) will support the Head of Risk and
Compliance with business compliance advisory, conflicts management,
Running the firm’s 2LODtesting & monitoring programme.
The CM will also support the MLRO with managing all elements of
the firm’s anti-financial crime programme.
Working in a small team the CM will be expected to execute
and develop day-to-day monitoring and surveillance, as well as to contribute to the formulation of the
firm’s compliance strategy and policy development.
Specific Functional Duties:
▪ Assist the Head of Risk and Compliance with advising the business on all regulatory and conduct
matters;
▪ Develop and maintain key business relationships across the global business;
▪ Support SLA work as necessary;
▪ Carry out the compliance review of marketing materials and ensure compliance with applicable
financial promotion rules;
▪ Manage the day-to-day activities of the AML and ABC programme compliance (including
international sanctions regime compliance);
▪ Monitor compliance with the firm’s policies around conflict management and client interests;
▪ Assist with other regular and ad hoc compliance monitoring reviews; and,
▪ Ad hoc projects as required.