Regulatory Compliance Manager

Recruiter
Eames Consulting
Location
The City, UK
Salary
Competitive salary
Posted
16 Jul 2021
Closes
27 Jul 2021
Ref
2321692688
Job role
Compliance/risk
Sector
Accounting - Public practice
Experience level
Manager
Regulatory Compliance Manager

We are working with a Investment Manager who are looking for a Regulatory Compliance Manager to support its investment management and insurance intermediary businesses. The role will sit within the Group's central Assurance Function (which has responsibility for the identification, management, and mitigation of risk across the Group).

This is a great opportunity to join a developing 2nd Line of Defence Function and gain exposure to both investment management and insurance intermediary compliance matters in support of a global business with ambitious growth plans.

Compliance Monitoring:
  • Assist in the Planning and Mapping of the Annual Compliance Framework and Monitoring Plan
  • You will contribute to the design and maintenance of a robust risks and controls framework and be responsible for monitoring compliance with that framework and reporting on the same to the Compliance Officer, Head of Compliance and Head of Assurance.


Trade Monitoring:
  • You will provide support to manage the business unit's teams' investment guideline overrides and trade exceptions
  • You will be responsible for making adjustments to the compliance modules in the IT System in the investment management business.


Financial Promotions:
  • Conducting compliance reviews of the business unit's marketing materials, presentations, financial promotions, performance reports and other publications.


Onboarding:
  • You will undertake KYC checks on new clients and on-going CDD checks on existing clients, suppliers and in relation to any proposed alternative asset acquisitions.


Experience and Skills:
  • The ideal candidate will have compliance experience in the asset management industry with a good understanding of the regulatory regimes applicable to businesses operating in that sector (including, in particular, the MiFID II and MAR regimes) as well as the products and systems sold or widely operated within it.


Get in touch or apply for more information.

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