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Job Specification


£70K + Benefits (inc Pension etc) | CITY + WFH (25/75)
Ref: 3787G

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


Our client, a niche Fund Management firm has developed a new business area acting as a portfolio manager managing external client funds (“client investment activities”). As a member of the legal and compliance team you will apply your financial services regulatory compliance experience to take the lead on ensuring compliance policies & processes relevant to their role as a portfolio manager, are fit for purpose and embedded in operations. Detailed requirements include; 

  • Develop a good understanding of the business and its teams & roles 
  • Lead compliance projects to support client investment activities through the design, amendment, implementation, embedding of, and providing training for, compliance policies and processes including, for example, the compliance function procedures manual, best execution/allocations and treating customers fairly policies. 
  • In relation to client investment activities, 
  • Advise colleagues across the business on regulatory matters 
  • Review legislation and FCA guidance and identify & deliver consequential changes to firms processes & policies 
  • Alongside colleagues in the legal and compliance team, build and share know-how and best practice across firm, including training & templates 
  • Support the Head of Legal and Compliance Manager to embed a culture of compliance across the firm 
  • Work with the rest of the legal and compliance team in supporting each other in additional ad hoc activities when required 

You should have a detailed knowledge of FCA regulatory requirements for a UK regulated Fund Manager (including some knowledge of MiFiD, SMCR & Financial Promotions), be experienced in drafting & reviewing policies & procedures and be used to operating at a senior level. NB Immediate start WFH but post Covid, likely to be mainly WFH with 1 or 2 days per week in the office according to need. 

So, if that sounds like you, then please send your details to Gary Collins in the first instance (Including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  


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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