Assistant Compliance Manager recruitment

A prestigious, global, Asset Management Group are looking for a Compliance Manager to join their team to provide significant input, development and support of compliance standards, policy, strategy and controls within the business.

The role will include, but not be limited to:

•  To assist in preparing an annual plan for that adequately reflects the compliance accountabilities and compliance risks (including money laundering risks) and implement the agreed plan

•  Assist in ensuring that the Private Bank Cross Business Monitoring Team ('CBMT') can complete their compliance monitoring plans. Assist in rectifying any deficiencies identified by the CBMT's reports

•  Provide clear, concise, consistent, constructive and customer conscious advice to the Business

•  Keep informed of regulatory changes assist in assessing the impact on the business. Assist in implementing regulatory change and ensure appropriate controls are in place and proper reviews are conducted to maintain appropriate standards

•  Actively support the business by providing detailed AML compliance advice / guidance in relation to existing and new business

•  Review financial promotion materials and approve for issue in different jurisdictions. In addition assisting regional teams with resolving issues

•  Produce periodic reports and MI as required and directed by the Compliance Manager

•  Assist the Compliance Manager - in relation to client complaints

•  Assist with ad-hoc compliance and business related projects as necessary

•  Communicate with staff at all levels regarding regulatory or legislative changes which affect business operations providing clear and timely guidance

Skills, knowledge and behaviour:

Knowledge of legislative and regulatory framework, FSA rules, and regulation in the pipeline which could affect the business' current/ planned activities

•  Asset management experience to include:

o NURS/ UCITS/ COBS/ COLL

o Investment management front office controls

o Retail and institutional investment management processes and control environments

o Excellent knowledge of investment products

•  Asset management experience including:

o Good knowledge of Financial Services distribution methods, processes and practices

o Experience in a compliance advice role with a successful track record of producing compliant but business focused solutions to complex issues

To discuss this please contact me, Simon Jackson, on 020 7422 9044 or sjackson@mcgregor-boyall.com.