Senior Compliance Manager - Alternatives

  • £Highly Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • LMA
  • 19 Apr 18 2018-04-19

This role will require a pragmatic principled based approach to global regulation Reporting into the Head of Compliance/General Counsel with the real intention to transition to CF10//11 in due course

 

KEY RESPONSIBILITIES

  • Develop and maintain a detailed knowledge of the FCA and other regulatory requirements
  • Be aware of industry developments / initiatives in the area of regulation and keep abreast of market practice / reaction
  • Deputise for the Compliance Officer as required and be able to report to Management Committee on compliance issues.
  • Review AML verification/on-going due diligence in a timely, risk rated manner.
  • Assist the Head of UK Compliance in assessing the impact in changes to domestic and international regulation and legislation
  • Maintain relevant Compliance registers
  • Review, and assist in completing and approving all Financial Promotions
  • Assist the Head of UK Compliance in completing the annual monitoring programme
  • Assist the Head of UK Compliance in keeping all internal Compliance documentation (such as application forms, terms of business, policies, procedures, controls and manuals) up to date and compliant
  • Assist the Head of UK Compliance in completing all necessary T&C reviews and providing ad-hoc training where appropriate.
  • Assist the Head of UK Compliance in identifying risks to the business
  • Undertake transaction monitoring
  • Sign off PA deals and add to register
  • Ad-hoc projects as necessary from time to time
  • Attend relevant conferences and seminars as necessary
  • Monitor and review the Fund Management team
  • Assist with account opening and review of new clients
  • Best execution, MIFID II and market abuse monitoring
  • Implementing and monitoring on-line Compliance training is completed on time
  • Responsible for quarterly compliance sign-offs from staff
  • Providing compliance advice to the business on a broad range of issues
  • Implement GDPR programme and up  to speed om SMCR
  • Anticipate issues, provide solutions and use independent judgement
  • Representing the Compliance Department at due diligence meetings with prospective and existing investors.
  • Managing potential compliance breaches through to resolution using one’s own initiative.
  • Presenting to a range of stakeholders including to Senior Management
  • Prepared to take on CF11 role in short time frame and CF10 over time.

 

Experience 

  • Excellent level of English Language
  • Relevant Compliance Qualification (such as the International Compliance Association Diploma in Compliance or CISI Reg and Comp Diploma)
  • Minimum 5 years’ experience in investment business compliance .Previous Compliance experience essential in the asset management/alternatives industry.
  • Excellent level of knowledge of JMLSG and other relevant AML legislation and guidance
  • Ability to work within a team as well as independently.
  • Ability to work to tight deadlines.
  • Excellent communication skills (both verbal and written).
  • Ability to raise and communicate complex issues accurately and succinctly to personnel at all levels.
  • Educated to degree level or equivalent (preferred
  • Excellent level of knowledge of both FCA and EU regulatory legislation (specifically changes related to MIFID  II where possible)