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Job Specification


£100K - £120K plus bonus & benefits | WFH
Ref: 3866G4

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

Our Client, a Global Asset Manager, is looking to appoint a Senior Compliance Manager & MLRO (potential SMF16 & SMF17 once authorised) for a new start-up UK Business.  Working alongside other UK based senior Compliance staff you will be tasked with establishing the compliance function, frameworks and programme for the new UK entity and more broadly in other new EU jurisdictions.  Reporting directly to the overseas Group Head of Compliance, duties will include:
  • Provide expert compliance advice to support all asset management, distribution and marketing activities in the UK and EU.
  • Work with Global Compliance leadership team and senior stakeholders to drive good risk culture and good risk outcomes across UK and EU activities
  • Work with the Risk and Compliance business partners and the business teams to implement all aspects of the Compliance Framework
  • Write and implement Compliance policies and manuals
  • Oversee Compliance monitoring and reporting obligations
  • Oversee Licence management across a number of UK and EU jurisdictions
  • Assess new business and activities in the asset management space across the UK and the EU to ensure required licensing and approvals are in place
  • Oversee Compliance approval of marketing and distribution collateral 
  • Thematic monitoring and regulatory compliance including horizon scanning related activities
  • Mergers and acquisitions – compliance advisory services
  • Positively contribute to all aspects of the Compliance leadership team discussions, debate and decision making.  
The successful candidate must have gained extensive senior Compliance experience not only with a good knowledge of all relevant regulations as they apply to Asset Management including Distribution but also an ability to work closely and collaboratively with other senior colleagues to cultivate a positive compliance culture and foster executive level relationships. 
This is an excellent opportunity to join a well-established major global asset manager as they launch into the UK and EU, targeting both organic and acquisition growth, to ensure they have the compliance structure and technical skill to grow sustainably and remain at the cutting edge becoming a truly global asset management force.  
This role is offered as a WFH opportunity for the foreseeable future but may require occasional office visits in London and their offices in Europe too.
If this sounds like your next career move and would like to know more, please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to (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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