Compliance Manager – CF10 recruitment
My client is a well regarded investment management firm and is looking for a Compliance Manager to head up the compliance function for its’ asset management business. This position will be the registered CF10 and CF11 with the FSA and have responsibility for all aspects of compliance for this part of the business.
This role will be challenging and diverse and the post-holder will be:
• The main contact with the FSA
• Developing / maintaining the compliance manual as well as company internal policies and rules
• Establishing and maintaining all procedures ensuring all business activities are compliant with regulation
• Organising compliance training for the relevant staff
• Preparing quarterly compliance report
• Responsible for the day to day compliance monitoring to whole business including trade check in investment management and ensuring remedial action
• Advising the business
• Reviewing marketing material
The company offers equity and fixed income products and has a very well performing emerging markets fund.
This is a really fantastic opportunity to join a very successful company and really take ownership of the compliance function. You will gain excellent exposure to a varied and interesting workload.
If you feel you have the right skills and would like further information please don’t hesitate to submit your details.