Compliance Manager, Asset Manager
The Group Compliance Department in London has two sub teams:
(1) Investment Process Compliance Team (IPC);
(2) Regulatory, Reporting and Monitoring Compliance Team (RRM)
The key responsibilities of the Compliance Manager’s role in RRM are as designated from time to time by the Head of RRM, including but not limited to:
Primary (two thirds):
As a manager to be involved in and contribute to the tasks assigned to the RRM team. As directed this will include the following aspects of the compliance monitoring programme:
- taking a lead role in the design and implementation of a new global compliance monitoring programme;
Secondary (one third):
This will include being involved in and contributing to:
- preparation/update of policy/procedural documentation;
- maintaining staff personal account dealing records and preparation, issue and review of quarterly statements and declarations, etc;
- review and approval of financial promotional material;
- Anti Money Laundering issues;
- Ashmore’s responsibilities under the Approved Persons regime;
- maintenance of the firm’s gifts and entertainments register, maintaining the complaints register;
- Ashmore’s regulatory training and competence policy;
- be involved as necessary in the administration activities required by the Group Compliance Department. This may involve, for example:
- downloads of internally held data for examination and analysis,
- the establishment and maintenance of compliance library material;
- ensuring that records (electronic and hard copy) files are indexed and maintained to high standards and archived when appropriate.
Competencies for the role:
- Minimum of 5 years working experience (ideally more), including strong experience of compliance monitoring
- Strong organisation and interpersonal skills
- Ability to manage and prioritise multiple tasks
- Analytical, with significant attention to detail
- Formal qualification and experience in audit an advantage
- Excellent organisational and IT skills
- Report writing to a highly developed level
- A keen interest in the investment management industry and a willingness to learn and retain a detailed understanding of the regulatory environment in which the firm operates.
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