Senior Advisory Compliance
Job Title: Senior Compliance Manager - Advisory
Position
As a result of our growth and a continued commitment to driving a successful business, we are looking to grow our Compliance Risk function. The role will involve a variety of day to day general compliance duties relevant to a retail fund management business, specifically concentrating on the provision of compliance advisory support to the various business units.
Job Functions
Provide clear, reliable and consistent advice on any compliance issues arising in the
Business
Provide advice and input in to compliance issues relating to the launch of new products
Assist in maintaining compliance procedures
Provide input into anti-money laundering procedures
Maintain records across areas such as PA dealing, gifts and benefits, conflicts of interest,
Approved Persons, TC, TCF, client money, etc
Reviewing, from a compliance perspective, marketing material (including client letters,
monthly Fund fact sheets, terms and conditions and client classifications).
Review FSA publications and prepare reports to senior management on rule and policy
changes
If you would like more information or for a confidentail conversation please contact me Martin Joyce 0207 332 0300
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