Senior Compliance Manager – Asset Management
With this, a Senior Manager within the Compliance team is required to take management and oversight responsibilities of the compliance monitoring function; But also covering a very hands on, and generalist role themselves. Deputy to the Compliance Director, with a broader role planned in future.
Responsibilities:
• Compliance support to the board and senior management, assuring them that the business is fully compliant and risk aware
• Responsible for the development and on-going oversight of the risk based monitoring programme
• Pre/Post trade monitoring and reporting – Escalating accordingly
• Providing regulatory advice to the board and senior management.
• Monitoring the sign off and review of Financial Promotions.
• Management and oversight of a small compliance team.
• Deputing the Director of Compliance when required
Requirements
• Asset Management Compliance background is essential: At least 5 years minimum.
• Compliance Monitoring experience; Development and oversight of monitoring programme.
• A good understanding surrounding Investment products, and regulations around them.
• Articulate and hands on; working across the business at all levels.
Excellent opportunity. £70k-£90k Basic salary.
Please apply for further details. tony.bortolozzo@jigsawsearch.co.uk