Search Jobs

Job Specification

Compliance Manager – Best Execution Monitoring Experience Required

£60K + Bonus + Benefits | West End
Ref: 3363J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
We are recruiting for a fund management firm looking for a Compliance Manager to join their compliance team. Duties will include:
 
• Manage the Compliance Monitoring program including but Best Execution and Market Abuse monitoring via Bloomberg’s Transaction Cost Analysis tool (BTCA)
• Manage the key day-to-day operational compliance tasks including PA Dealing, Gifts approval, Restricted list review, approval and maintenance & Major shareholding and short selling disclosures
• Coding investment guideline restrictions, particularly around new fund launches and as part of annual review
• Oversee the fund registration process and liaise with the relevant 3rd party providers accordingly.
• Provide support or take the lead with key regulatory projects as and when assigned / required.
• Provide support or take the lead with key UK and US regulatory filings as and when assigned / required.
• Provide support or take the lead with the preparation of key management information as and when assigned / required.
• Provide support or take the lead with the development, maintenance, or update of Compliance related policies and procedures.
 
The successful candidate must have at least 2 years compliance experience with specific Best Execution monitoring experience using BTCA or a similar system from within a fund management firm. Candidates will also require an understanding of UCITS fund rules and have good IT skills generally.
 
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com​
                                                          

Hot Jobs