Senior Manager – Compliance recruitment
Our client is a global asset management company who is currently looking to recruit an interim senior manager - Compliance, UK Distribution.
The successful candidate will work with UK Distribution, Group Compliance and Internal Audit to provide reasonable assurance of Distribution's compliance with its regulatory obligations and the effectiveness of the control environment.
Duties include;
-To provide advice on all relevant regulatory matters across all areas of UK Distribution and work closely with senior management on any compliance issues that may arise.
-To coordinate with the Head of Compliance - Infrastructure the process for identifying, interpreting, and reporting on regulatory change within UK Distribution, and communicate as appropriate.
-To the extent that the relate to UK Distribution matters, review local Compliance manuals to ensure they are up to date, reflecting current working practices and relevant regulatory requirements.
-To review UK Distribution procedures to ensure that they relevant regulatory requirements.
-To ensure that complaints, breaches, pricing errors and errors and omissions relevant to the Distribution area are appropriately identified, escalated and resolved.
-Take ownership of the Client take-on process for Distribution clients.
-To identify, interpret, and report on legal regulatory change in respect of UK Distribution.
Experience needed;
-Has extensive and deep experience of a broad specialist area or the management of a large sub function or function in the field(s) of Regulation / Compliance / Risk.
-Asset Management experience.