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Job Specification

BREAK INTO FUND MANAGEMENT COMPLIANCE – SUIT FUND ACCOUNTING OR FUND MGT OPS (OR EXISTING COMPLIANCE) EXPERIENCE WITH COLL KNOWLEDGE

£70K - £80K + Bonus & Bens | City
Ref: 3576G

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

 
 

We are exclusively recruiting for a recently established niche Fund Management solutions group looking for a Compliance Manager to support the part time Head of Compliance & MLRO and ultimately succeed him in a few months.  In a hands on role, duties include

• Assisting the Compliance Director on various compliance matters and acting as his deputy in his absence
• Advising firm on relevant regulatory matters and issues, current and forthcoming FCA (and relevant European) regulatory changes, including UCITS, AIF, MiFID, AML & Financial Crime
• Monitoring, assessing and reporting on the effectiveness of firm’s systems, controls and governance.
• Monitoring of outsourced functions (fund accounting, transfer agency & investment management)
• Review of fund documentation (Prospectus, Instrument, KIID) and other documents for compliance with FCA requirements.
• Ensuring that all regulatory requirements and firm policy requirements are being complied with.
• Engagement with industry colleagues and contacts so as to keep abreast of market developments, technical matters and regulatory changes

Although experienced Compliance Managers will also be considered, our client is very willing to consider (and train) Fund Accounting or Operations Managers provided you have a good understanding of UCITS/AIFS including COLL Regulations and some exposure to CASS. 
NB once promoted to hold CF10 & 11 then salary would be increased to reflect the additional responsibility 


For a confidential no obligation discussion, please feel free to call Gary Collins on 020 7 330 6960 or send your details to him at Gary@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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