UK Applications Team Leader / Manager
Our clients range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.
We are looking to hire a compliance professional to come in and manage our UK applications team based in our London offices. The team is essentially responsible for managing the authorisations process for a variety of clients and for the delivery of Cordium services in regard to the following:
- Part IV (A) Permission applications
- Change of Control Applications
- Variation of Permission Applications
- Change of Legal Status Applications
- Approved Persons Applications
- Part IV Permission Withdrawals
The Manager will take the lead within the team and be responsible for managing the consultants, the effective delivery of services to clients and for contributing to the wider business.
Key Responsibilities:
- Manage the drafting and collation of information in respect of the forms for the various services listed above
- Direct liaison with clients (face-to-face meetings, telephone calls and email), as well as managing contact with the FCA
- Liaison with other consultants within the business to facilitate the conversion to ongoing relationships and handover at the conclusion of an application
- Build relationships with internal teams (Directors, Ongoing, Training, Sales, Marketing, etc) and raise profile, both externally and internally, so that these colleagues and contacts can have appropriate confidence in you with reference to your role, responsibilities and ability to deliver Cordium services
- Reviewing work prepared by the team across the various services for accuracy before being signed off and submitted to a client for review and approval
- Monitor client profitability and suggesting fee amendments where appropriate
- Lead weekly meetings and ensure that MI is prepared correctly
- Identify additional fee opportunities as these arise
- Maintain a good awareness of the client's business, raising any concerns with senior management
Contributing to the Cordium organisation:
- Take a lead in sectors as required, as well as becoming a sector leader for FSA applications and associated services
- Assist and encourage colleagues
- Participate in internal committees as required
- Review, digest and disseminate regulatory developments within the applications team
- Participate in external events as required
- Update Cordium infrastructure and tools as and when required
- Work closely with senior management in regard to individual development and training needs
Team oversight
Client Management:
- Allocate new clients and project work
- Oversee client profitability
- Oversee accuracy of client invoices
- Client servicing:
o Monitor timeliness of client deliverables
o Quality control of client deliverables
o Overseeing accurate timesheet and general record keeping
People Management:
- Take a lead in the recruitment of new team members
- Set objectives for new consultants on joining the team
- Carry out bi-annual appraisals (minimum) for all team members including team member objective setting
- Monitor work load and utilisation rates
Key requirements:
We would like to talk to candidates who demonstrate proven compliance experience, ideally gained at an Asset/Investment Management firm, the Big4, a specialist regulatory consultancy or from a relevant team at the FCA.
We have a preference for individuals who have prior experience of dealing with the authorisation process as a significant part of their role, however we will certainly consider strong generalist compliance candidates who have experience of managing and developing people, and possess exceptional communication skills and strong commercial awareness.
Please contact me on giles.remmington@cordium.com or on 0203 141 9635
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