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Job Specification

Investment Management Compliance - Varied Role

£50K - £70K + Bonus & Benefits | West End
Ref: 3410J

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

Our client, a global investment firm, is seeking a Compliance Manger to join the team in an interesting and varied role including;
• Running and Overseeing the central compliance process including:
   - Maintaining and overseeing the personal account trading process
   - Maintaining and overseeing the gifts and hospitality process
   - Maintaining and overseeing the outside interests process
• Formalising and documenting the framework of Compliance Procedures
• Assisting in Compliance monitoring and production of compliance monitoring reports
• Regulatory reporting including close links, short selling, etc
• Assisting in various branch reporting and oversight
• Keeping up to date and informing the firm of regulatory change
• Review and revision of policies and procedures
• Production of management information, including Board reports
• Carrying out compliance tasks including FCA registrations and reporting
• Various ad hoc projects
You should have previous Asset Management Compliance Experience including monitoring and good written communication skills. Great opportunity to gain international exposure (including learning SEC requirements) from experienced and friendly management team.
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

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