Asset Management Compliance manager
A boutique institutional fund manager based in the City of London require an experienced Compliance specialist to join their business. The company are focused on Collective investment schemes and UK registered UCITS funds. The business is small in terms of head count and this role will report directly to the Head of Compliance.
The role is very generalist in nature, due to the size of the business you will be expected to support the Head of Compliance on all compliance duties, these will include;
COBS Monitoring
Compliance Oversight
Provide compliance advice to the business
Financial Promotions
Gifts/PA Dealing
Integration on Bloomberg of varied order management systems
Guideline Monitoring / Coding
Takeover Panel Reporting
AML
Approved Persons
Audit/TPA Administration
Due to the size of the business it is essential that you possess the necessary soft skills to manage key stakeholder relationships, and are comfortable dealing with the business on a daily basis to provide compliance advice and monitoring.
To be considered for this role it is essential that you have strong compliance experience gained within Asset or Fund Management
The company offer an excellent working environment and are a business that are very compliance centric in terms of their business strategy.
To find out more please call Stephen Borner at Hays on 02034650110
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