Compliance Manager (part time) recruitment

Reporting into the Board of each entity, the successful candidate will have full oversight of compliance for two entities and hold the CF10 11 controlled functions.

Responsibilities include (but are not limited to):

Regulatory Compliance

• Ensure that the firm remains compliant with all applicable UK US regulations and codes of conduct

• Keep senior management aware of their regulatory responsibilities, changes to rules and current practice

• Maintain and update the Code of Ethics, Compliance Manual and internal procedures as required

• Provide advice and guidance to the business on regulatory legal issues

• Identify and develop robust risk controls

• Develop compliance training programmes and guides for staff

• Maintain all relevant compliance records (PA dealing, gifts, conflicts of interest, etc)

• Produce the annual compliance/MLRO report for the board and clients

• Attend to all regulatory filings

• Review all marketing literature, ensuring promotion to only suitable prospective/current investors

Compliance Monitoring

• Develop and update compliance monitoring programme taking into account of compliance risks

• Undertake compliance monitoring reviews in line with procedures and FSA regulations.

• Assist the external compliance consultant with their monitoring reviews

Qualifications Experience

• Extensive experience gained in asset management compliance

• Current or recently registered with the FSA as CF10 11 (strongly preferred)

• Degree educated or equivalent

Skills

• Strong, effective communication skills (written and verbal)

• Ability to negotiate and influence people at all levels

• Self-starter and able to meet tight deadlines

• Good analytical, business and problem solving skills

• Ability to work as a team and maintain relationships internally and externally

It is expected that the successful candidate will be able to commit to 3 days / week, although you will need to be able to commit the hours needed to cope with any peaks in workload or advice needed from the business.