Compliance Manager
My client a successful and leading household name Investment Manager is currently looking for an additional Compliance Manager to advise in relation to a range of products and services some of which are listed below:-
· Index funds;
· Active Fixed Income;
· Active Equities;
· Authorised finds – including unit trusts and OEICs;
· Insurance funds;
· Liability Driven Investments;
· Central dealing.
Reporting into the Chief Compliance Officer, the Compliance Manager will be responsible for pro-actively ensuring the highest standards of compliance within the business areas are met if not surpassed.
The main responsibilities are:
1. Maintain a detailed knowledge of the FSA handbook and ensure that business managers are kept up to date with any regulatory changes and developments that impact their area.
2. Provide advice and guidance to business managers as regards to new business initiatives and business changes. This will include participation in business projects.
3. Ensure delivery of risk based compliance activity which ensures that resources are targeted in an appropriate manner.
4. Ensure that all planned and ad hoc monitoring activity is carried out in accordance with the monitoring procedures and that all issues identified are properly reported. This includes theme based reviews.
5. Ensure that relevant individuals are equipped with sufficient knowledge of the relevant legislation and regulations to carry out their activities in a compliant manner and provide high quality compliance training on regulatory issues where appropriate.
In addition, this person will be expected to deputise at times for the CCO and to provide compliance support on any new business initiatives.
Suitable candidates will ideally have:
Proven experience or understanding of Unit Linked Insurance Products, or life fund structures and the prudential and conduct rules that apply to such structures.
Relevant professional qualifications.
Proven compliance experience gained from a fund management operation.
Thorough knowledge of all the relevant FSA Handbook rules and good understanding of the applicable UK and European regulatory regime.
Ideally a graduate with good interpersonal skills and the ability to deal with all levels within the organisation.
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