Description
Compliance Manager - Asset Management
This prestigious Asset Management Company is one of the top banking organisations, recognised as an industry leader, privately owned, stable and professional, offering first-class career prospects. This is an exciting opportunity for a Compliance Manager to carry out a Risk based monitoring programme, identifying weaknesses and pragmatic solutions, and reporting in a clear and concise manner. This will include monitoring tasks to check for compliance with FSA and SEC's regulatory requirements and to provide support to the Compliance teams based in London and Europe.Duties:
- Daily monitoring of adherence to client investment restrictions
- Maintaining the accuracy of investment restriction data
- Provide Fund Managers and other staff with timely and pragmatic advice and training
- Ensure all errors and breaches are promptly reported and appropriate action taken
- Assist in the response to requests made by regulatory authorities
- Production of compliance certificates for clients
- Assist Head of Compliance including with the production of reports to ExBo
- Act as secretary to the Compliance and Business Risk committee and Trading Committee
- Completion of monitoring programmes and regulatory returns
- Prompt review of IMAs
Qualifications & Experience:
- Degree-level education
- Hold IMC or equivalent qualification
- Compliance and Regulatory functions of an Asset Management company
- FSA rules and regulations
- Finance sector
- Up-to-date knowledge of relevant equity practices and dealing procedures
- IT skills and knowledge of relevant software packages
We believe in equality of opportunity for all job applicants regardless of gender, marital status, race, colour, nationality, ethnic origin, creed or religion, disability, sexual orientation or age.
Specialising within Energy Trading, Oil & Gas, Financial Markets and TV & Entertainment, Eaglecliff Recruitment is ISO accredited, a Member of REC and listed within the top 4% for Financial stability by Dunn & Bradstreet. Please telephone or email your CV for an immediate response. Eaglecliff Ltd is acting in the capacity of an employment agency for permanent recruitment and an employment business for contractor resourcing.