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Compliance Manager –  Asset Management Experience Needed

£80K-£85K  + Bonus & Benefits | SW London/Surrey
Ref: 3389J

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

Our Client, a Global Asset Manager, is looking for an experienced Compliance Manager to be responsible for managing the Compliance Risk Management Framework across the Investment Management business and embedding a culture of Compliance in line with the FCA / PRA  rules and expectations. Reporting to the Chief Risk Officer, duties will include:
• Providing regulatory advice and guidance to senior managers and ensuring they are aware of their regulatory obligations.
• Ensuring compliance procedures and policies are reviewed and up to date and work with relevant stakeholders to develop and enhance appropriate controls.
• Maintaining and developing the Compliance Risk Management Framework and enhancing and embedding this into all areas of the Investment Management business.
• Developing the Compliance Monitoring Programme and conducting periodic and thematic monitoring reviews.
• Liaising with relevant stakeholders to discuss the results of monitoring and any remedial action required
• Review of new products and advise on regularity requirements.
• Review of all financial promotions
• Design and delivery of Compliance training
• Maintaining and reporting meaningful management information.

The successful candidate will have a minimum of 5 years’ experience gained either in a similar compliance role within Asset Management or else a consultancy covering such.  While you must have a detailed and up-to-date knowledge of the UK regulatory structure and the FCA Handbook and rules, as important will be your detailed understanding of asset management, products and systems and the inherent procedures & controls.
This is an excellent opportunity to step into a senior managerial role with a well-known global financial services business where you will have senior level exposure including representing compliance at relevant committees up to board level.  So, if you feel you have the technical knowledge and the excellent communication and influencing skills that this role demands, then please contact Darren Ruskin on 020 7330 6961 or send your details to him at

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