Compliance Manager

Job type:
Start date:
6 months
Aston Carter
Published at:
flag_no USA
Project ID:

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A major Global Asset Management company is looking for a Compliance Manager. The Compliance Manager will be required to deliver Compliance advise across different business areas, with the Principal responsibilities focus on the successful management of the UK Distribution function of the UK Compliance team.

Principal Responsibilities

To work with UK Distribution, Group Compliance and Internal Audit to provide reasonable assurance of Distribution's compliance with its regulatory obligations and the effectiveness of the control environment.
To provide advice on all relevant regulatory matters across all areas of UK Distribution and work closely with senior management on any compliance issues that may arise.
To coordinate with the Head of Compliance - Infrastructure the process for identifying, interpreting, and reporting on regulatory change within UK Distribution, and communicate as appropriate.
To the extent that the relate to UK Distribution matters, review local Compliance manuals to ensure they are up to date, reflecting current working practices and relevant regulatory requirements.
To review UK Distribution procedures to ensure that they relevant regulatory requirements.
To take responsibility for the drafting and execution of the Annual monitoring Plan for UK Distribution.
To ensure that complaints, breaches, pricing errors and errors and omissions relevant to the Distribution area are appropriately identified, escalated and resolved.
To assist in the drafting of Periodic Board reporting for SIL, SUTL & SPML
Take ownership of the Client take-on process for Distribution clients
To support the head of Compliance, Distribution in respect of thematic issues.

Required Experience

Previous Compliance Manager/Compliance Advisor in a Regulated Finical Services environment, ideally Asset Management
Deep understanding of Compliance, and relevant FSA handbooks, COL, CASS etc
Previous experience, or a genuine high level understanding of the Compliance Distribution function is preferred.

Aston Carter Ltd is acting as an Employment Business in relation to this vacancy.