Senior Compliance Manager, Conduct Risk
Leading Fund Management Firm
They now seek to recruit an experienced Senior Compliance Manager to manage the team’s risk-based monitoring and surveillance of conduct risks across their entities and funds. You will lead the building and implementation of a pragmatic monitoring and surveillance programme to test compliance with all regulatory requirements.
KEY RESPONSIBILITIES:
- Take the lead in building a comprehensive, risk-based compliance monitoring programme for each business area reflecting relevant regulatory requirements.
- Establish tools to aid monitoring and surveillance work, and work closely with risk and audit colleagues.
- Manage the compliance team’s monitoring and surveillance work, ensuring reviews are of a high standard.
- Maintain knowledge of legislation providing guidance/training to colleagues and business.
- Develop team ensuring they have tools and skills training for risk based monitoring.
- Lead significant compliance projects, deputise for the CCO (Chief Compliance Officer) on trade bodies, industry working parties and the FSA.
THE PERSON:
- At least 5 years asset / investment management compliance experience.
- Relevant qualification(s) in areas such as accounting, business, risk or compliance.
- Industry experience of FSA and EU legislation.
- Strong advisory / regulatory change experience.
- Retail investment management experience.
- Strong handbook knowledge – COBS COLL (UCITS) CASS.
- Versatile and energetic approach, with a strong personality.
- Experience of C-level engagement.
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