Senior Compliance Manager

 Senior Compliance Manager

Our client, a City based Asset Manager are looking to recruit a Senior Compliance Manager on a 12 month FTC, paying up to £90k equivalent.
The objective of the role is to play a key role in the oversight and leadership of the UK Compliance Department with the objective of managing regulatory risks in accordance with the Group’s Risk Appetite Statement. Specifically, the Compliance function aims to provide a high degree of assurance that the Group meet its regulatory obligations in each applicable jurisdiction. The Compliance Department operates within second line of defense, as part of the wider Risk Division.
Duties and Responsibilities Notes

Advice to Business
To take a lead role in supporting the private equity and alternatives businesses.
Liaison with business units to ensure that they are familiar with Compliance processes and to provide high quality regulatory advice. Participating in the tracking of the UK Compliance regime and how it affects business.

Participation in business projects, initiatives, discussions, etc. to provide regulatory perspective.

Provide support to the Head of UK Compliance in respect of regulatory/trade body queries, interaction and information requests.

To take a lead role in the oversight of controls, and the provision of advice to the business, in relation to Market Abuse.

Improve Processes and Procedures
To work in partnership with the business to improve processes and procedures in order to mitigate regulatory risk.

To promote the highest standards of ethical practices across the Group in strict compliance with the letter and spirit of regulatory standards and in accordance with the Group’s commitment towards acting in the best interests of our customers at all times and putting customer interests, and market integrity, at the heart of the Group’s business.

Regulatory Developments
To participate in the UK Compliance assessment of changes to the regulatory regime, ensuring that the impact of the change is understood by the business and that a plan is formulated in respect of any necessary changes to processes, procedures and controls.

Compliance Policies
Assist with the review of existing Compliance policies and the formulation of new policies, ensuring appropriate engagement with the business.

As required, representing at various technical forums, reporting back and disseminating information where appropriate.

To assist with visits by regulators, clients, trustees, auditors etc., ensuring that requests for information are dealt with in a timely manner.

Monitoring and Surveillance
Supporting those with the day to day responsibility for the monitoring and surveillance activities, ensuring that issues identified are brought to the attention of the relevant team in order that the issue(s) identified can be considered for inclusion in the monitoring/surveillance programmes.

Staff Management and Development
As required, to ensure that agreed targets/priorities are being met and that adequate resources are in place in order to progress projects, issues, etc. in line with agreed timescales. To lead, motivate, and develop Compliance staff by appropriate delegation, training and appraisals to ensure they fulfil their professional potential and provide skilled and high quality regulatory advice to the business.

Management Information
As required, to prepare reports for management giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of actual or proposed controls in place.


* Previous Compliance experience at a senior level
* Broad and varied knowledge of the asset management industry
* Strong people and team management skills
* Ability to lead and influence at all levels and to initiate change
* Attention to detail is essential
* Established internal network or ability to build network quickly
* Ability to balance senior level interaction and coordination with bottom up activities (getting your hands dirty) when required
* Demonstrate enthusiasm and drive and be personable, yet robust, where required
* Experience of managing multiple stakeholders with strong collaboration skills
* Engendering positive relationships and trust
* Flexibility and comfort with ambiguity are essential
* Comfortable with taking responsibility
* Ability to advise the business in areas such as governance and responsibilities, especially in light of the forthcoming Senior Managers and Certification Regime.

Enquire about this job

Search For a Job