Description
Compliance Manager - Funds and Investments
Looking for a compliance consultant with a sound knowledge of FCA regulations (and possibly global regulations: Europe and US) to provide advice, controls and procedures to an investments firm to ensure compliance.
Imperatives
- A track record of compliance oversight within investment management/wealth management
- Experience of reviewing policies/procedures and implementing controls
- Have a proven track record of partnering key business stakeholders in an investment team, ideally in an asset management or similar business.
- A strong technical understanding of UK and US regulatory regimes (eg FCA, SEC, FINRA, CFTC).
- A good knowledge of risk management principles and methodologies
- Stakeholder engagement
Please apply for more information