Manager, Business Compliance
Global Fund Manager with over $250bn of AUM seeks Compliance Manager with Financial Promotions experience
This Fund Manager offers world class investment solutions and invest over $250 billion globally with clients ranging from private individuals to pension funds, central banks, sovereign wealth funds and large corporates.
As Compliance Manager, your main responsibilities will be to review and approve financial promotions and client communications in order to ensure the firm is complying with regulatory requirements. Alongside this, you will be ensuring regulatory compliance with the AML, Legal and Risk functions whilst also managing risk. Emphasis will also be placed on taking heed of FCA data requests and visits, in addition to upholding audit trails and records for sign off.
Candidate qualifications required:
- Minimum of 2-3 years compliance experience within an asset/fund manager or platform provider is essential, some of which must have included financial promotions
- Bachelor's degree (in a relevant discipline such as law, accounting or a business related subject) is desirable