Senior Retail & Institutional Funds Compliance Manager
I am currently recruiting for a leading Fund Manager, based in the City who are recruiting for a Senior Compliance Manager to join their business.
In summary, the primary purpose of this job is to provide leadership and direction to Compliance advice, monitoring and training in respect of all distribution activities, both retail and institutional.
The role will represent compliance in all retail an institutional distribution matters, including but not limited to the following:
• Retail Customer Interests initiatives (including TCF)
• Retail Product Development
• Retail Joint Ventures
• Fund board and ACD reporting (including where appropriate AIFMD matters)
• Retail Financial Promotions
• Complaints Ombudsman
• Institutional distribution (including Investment Trusts, RFPs, private placement regimes, Hedge Funds)
• Trustee TPA relationships
• Client Money (CASS / CMAR)3
• Gabriel Reporting
This is a very exciting opportunity to join one of the leading brands in fund management. The role reports directly in to the Global Head of Compliance, and as such is part of the Senior Management Team, and you will be a key driver of compliance strategy to the business.
Please call Stephen Borner on 02034650110
Leave a Reply
You must be logged in to post a comment.