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Job Specification

Senior Compliance Manager – Asset Management Experience Required

£70K - £90K + Bonus + Benefits | London
Ref: 3438J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

Our client, a leading asset management company, are looking to recruit a Senior Compliance Manager to assist the Chief Compliance Officer with the day to day management of the AML & Compliance function in the London office.  Duties will include:
• Deputise for the CCO as required and assisting in reporting to the Management Committee on compliance issues
• Assist the CCO in assessing the impact in changes to domestic & international regulation and legislation
• Providing Compliance advice to the business on a broad range of issues
• Review, and assist in completing and approving all Financial Promotions
• Assist the Head of UK Compliance in identifying risks to the business
• Undertake transaction monitoring
• Review AML verifications / on-going CDD in a timely, risk rated manner
• Representing the Compliance department at due diligence meetings with prospective and existing investors
• Ad-hoc projects as necessary from time to time
• Attend relevant conferences and seminars as necessary
The ideal candidate will have a minimum of 5 years of Compliance experience of asset management, whether gained in a similar in house role or a consultancy. You should have an excellent level of knowledge of both the FCA and other relevant EU regulation along with an understanding of AML legislation, willing to pick up those areas not yet familiar with.
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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