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Senior Compliance Manager - Asset Management

Posted 26 February by MERJE Ltd Easy Apply Ended

Our Client

One of the UK’s largest and oldest Financial Services Groups are seeking to recruit a Senior Compliance Manager to provide Compliance oversight within their Group function.

The Role

With a key focus on their Asset Management business, you will be required to:

  • Assess and mitigate compliance risks, and provide challenge to the firm’s compliance arrangements
  • Engage with wider Compliance team, senior management and key head office functions in order to develop a solid understanding of the firms’ business model, products and regulatory environment.
  • Keep firmly abreast of Regulatory change and maintain a strong understanding of those changes
  • Conduct compliance monitoring reviews into aspects of the firms’ compliance arrangements, identifying enhancements to policies, procedures and activities in order to improve outcomes, and presenting findings to senior management
  • Oversee, lead and contribute to project work in Group Compliance as required
  • Identification and proactive monitoring of key risks
  • Horizon scanning for regulatory developments and feedback from regulatory publications

Key Requirements

  • Excellent knowledge and solid experience of Asset Management industry
  • Excellent understanding of UK regulatory Framework for Asset Managers
  • Audit and Monitoring Experience (highly desirable)
  • Strong ability to build and manage relationships across a range of seniorities.
  • Capable of analysing a range and large volume of data, picking out key details, issues and risks.
  • Can challenge appropriately.
  • Strong commercial focus and communication skills, at all levels.
  • Strong understanding of investment / asset management regulation
  • Familiarity with or an interest in relevant RegTech solutions and digital innovation.
  • Strong education background (preferable)

Required skills

  • Asset Management
  • Compliance
  • Legal
  • Regulations
  • Risk

Reference: 33125777

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