Compliance Manager recruitment
Our client is the Asset Management arm of one the UK’s most recognised Financial Service Groups. The group has continued to grow extensively year on year and provides a variety of services to a client base ranging from private to institutional and corporate clients. To accompany this growth they are looking to expand their Compliance Department through the addition of a Compliance Manager who will provide support across the entire firm.
Your main responsibilities will be:
• Assisting with regulatory change updates and Compliance policies procedures; including the Compliance Manual.
• Completing Management Information Compliance reporting standards (including breaches and complaints) and regulatory registration.
• Coordinating Compliance Training.
• Undertaking themes of the annual Compliance Monitoring plan and funds surveillance using Thinkfolio.
• Reviewing Financial Promotions literature.
• Developing and maintaining the internal Compliance Management System.
• Assisting with various compliance projects across the team.
This position requires an essential understanding of the CASS rules and Anti Money Laundering, accompanied with excellent knowledge of the regulatory requirements for UK Asset Management businesses. The position provides the opportunity to demonstrate your adaptability through remaining astute to any changes in the UK regulatory environment. This established firm is at the forefront of financial advisory within the UK and their continual growth and fast pace of change creates the perfect arena to challenge and develop your career further.
To discuss this opportunity and others within Asset Management please contact Khurram Somra on 02031453368 or at Khurram.somra@bruinfinancial.com.