Senior Compliance Manager

Apex Group Ltd
The City, UK
Competitive salary
04 May 2021
05 May 2021
Job role
Experience level
Role Objective

Throgmorton (UK) Limited is looking for a Senior Compliance Manager to join its Compliance Solutions Team. The role will be based in London.

The successful candidate will be responsible for providing support to London-based asset management firms.

Reporting into the Co-Heads of Compliance Solutions, the successful candidate will be expected to work proactively, independently when required, and as part of the Throgmorton and wider Corporate Solutions and Apex team.

The successful candidate should have an up-to-date understanding of FCA regulations, preferably with additional working knowledge of other jurisdictions and their regulatory frameworks.

Job Specification

  • Regulatory review and advice
  • FCA authorisations and Variation of Permission applications
  • Developing and/or managing compliance monitoring programmes
  • Regular compliance reporting to senior management and/or the fund board
  • Drafting and updating of compliance policies & procedures
  • Assisting with counterparty and third party service provider due diligence
  • Marketing arrangements and permissions
  • Anti-money laundering arrangements and controls
  • ICAAP and risk reviews
  • Regulatory reporting for both UK and US regulators
  • Liaising with fund and company lawyers
  • Provision of training to clients
  • Keep up to date with all relevant industry developments;
  • Ad hoc project work.

Skills Required

  • Compliance professional with experience within the asset management industry (wider operational knowledge and experience is a bonus)
  • Registered Compliance Officer and MLRO experience
  • Knowledge and understanding of the relevant UK and international regulatory rules and requirements.
  • Strong communication skills key for building both internal and external relationships.
  • A pragmatic approach with the ability to think on your feet and problem solve effectively
  • A good orator and have a clear and concise style of writing
  • A keen eye for detail, together with strong administrative skills
  • A willingness to help expand the business and acquire new clients

What you will get in return:
  • A genuinely unique opportunity to be part of an expanding global business and to grow with the business
  • Training environment which is second to none
  • Great grounding in the basics
  • Exposure to the interactions between compliance and accounts, tax, payroll and company secretariat
  • Ability to apply technical knowledge to practical scenarios

Additional information

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR)) please visit

Similar jobs

Similar jobs