Prestigious London based client requires and accomplished Compliance Manager to perform compliance monitoring reviews in accordance with the risk-based monitoring programme incorporating applicable FCA and US rules and regulations.
Highlight findings from monitoring work performed to the Head of Compliance in a timely manner and agree and conclude issue and actions with firm senior management,
Provide periodic and adhoc reporting on Compliance Monitoring issue and action status to Head of Compliance
Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance;
Assist in enhancing current compliance monitoring statistics (MI) as both a management tool and as a mechanism to identify potential increases / decreases in the risks the company faces
Ensure all compliance principles, policies and procedures are clearly defined and regulatory developments are proactively appraised and communicated;
Review Financial Promotions and other marketing materials as required
Undertake Regulatory Reporting as required
Undertake Wall Crossings and deal with MNPI issues as required
Essential
Solid experience of the asset management industry;
Proven prior experience working within Compliance Monitoring roles;
Good knowledge of FCA and US rules as applicable to a UK Authorised firm and US Registered Investment Advisor asset management environments
Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, US Funds and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds
A strong knowledge of corporate governance practice.
Experience of Monitoring and Surveillance Activities
Experience of using Bloomberg systems
