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Job Specification

Compliance Manager – Fund Management Experience Required

£ 80000 - £ 90000 | City
Ref: 3668G

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


Our Client, a leading UK Wealth and Asset Management Group, is looking for an experienced fund management compliance manager to take charge of all compliance related matters for their Fund Management subsidiary. Reporting to the executive management team with a dotted line to the Group Compliance Officer  (who holds CF10 & 11 but otherwise has no day to day involvement in the subsidiary), duties will include:



  • Provide compliance advise and support to the fund management team
  • Ensure that Fund Management business operates in compliance with FCA and other regulatory and legislative requirements
  • Oversee the management, development and implementation of policies/procedures – maintaining relevant records and carrying out related tasks
  • Liaise with group compliance to ensure regulatory requirements are met
  • Work proactively to maintain systems and processes that keep pace with industry and regulatory needs
  • Provide support to the Investment Control team in monitoring the various funds related businesses (both on and offshore), reporting on breaches, mandate compliance etc
  • Create, maintain, implement, monitor and distribute relevant procedures to the Fund Management business
  • Review compliance monitoring data on the fund management business and resolve any required actions in a timely manner
  • Liaise with client’s compliance and operations departments to ensure the administration between all parties is completed in accordance with any agreements and SLA’s in place
  • Provide accurate and meaningful MI to the funds ExCo and Board as require


The successful candidate will have gained significant managerial experience in a similar Fund Management environment.  While you will need to have a detailed understanding of the FCA and regulatory requirements relevant to a Fund Manager, as important will be your ability to work under your own direction and to interact with and influence at all levels.


This is an excellent opportunity to join a well-established acquisitive business in a senior and influential role that for the right person may in time result in CF10/11 designation for the Fund Management business. 

So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to


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