Search Jobs

Job Specification

Exclusive: Compliance Manager – Investment Management Experience Required

£40K - £55K + Bonus + Bens  | Victoria
Ref: 3341D2

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

We are exclusively recruiting for a small niche investment management firm looking for a Compliance Manager to join their business. In an interesting & varied role reporting directly to the COO (& registered Compliance Officer), duties will include;
• Carry out compliance testing, monitoring & reviews and tasks and follow up all issues raised
• Assist with drafting compliance policies and procedures
• Assist in reviewing and approving financial promotions
• Assists with preparation of risk related information for Board reports
• Manage new counterparty accounts, monitor and review counterparties
• Monitor gifts, dealing error, breaches, marketing, outside interests, political contributions and maintain registers
• Manage MIFID2 regulatory reporting – transaction reporting, post trade transparency
• Monitor best execution, trade allocations, cross trades
• Perform general compliance tasks as well as involvement in ad hoc compliance projects
The successful candidate will have at least 12 months compliance experience ideally from within an investment management firm or a compliance consultancy. Great opportunity to gain early responsibility in this mixed and varied role in a small friendly office.
For a confidential no obligation discussion, please feel free to call David Symes FCA on 020 7330 6966 or send your details to him at

Hot Jobs