(LF145) Compliance Manager

£45,000.00 - 55,000.00 Per Annum

Compliance Manager / Officer

Investment Management Group who invest on behalf of institutional clients in the emerging market sector have a new requirement for a compliance manager. This role reports to the General Counsel.

Before you apply:

Experience working in a MiFID authorised company.
Experience within a global organisation.
Experience mainatianing relevant regulations
Strong compliance experience in investment management firm;
You are familiar with relevant FCA regulations applying to a MiFID firm
Solid understanding of investment products and financial markets;
Strong communication, ownership and matter management skills are essential.
In this role, you will develop compliance systems to ensure compliance with external regulatory requirements and internal policies.

Stay informed on external standards applicable to the firm globally and identify possible compliance risks.
Evaluate the efficiency of the firm’s controls and improve them continuously .
Revise procedures reports etc. periodically to identify risks and non-conformity issues.
Fill out and file reports on compliance monitoring.
Draft, modify and implement company policies.
Demonstrate an approachable, professional demeanour.
You will support the General Counsel in seeking FCA authorisation for the firm.
Under instruction from General Counsel consult with external advisors on compliance matters.
Key skills and experience:

Experience of working in a firm authorised under MiFID.
Experience of working in a global organisation.
Ability to maintain the firm’s ongoing compliance monitoring programme.
Monitoring of all relevant regulations applying to the firm’s business
You will have strong compliance experience in an investment management firm;
You understand a global compliance framework;
You are familiar with relevant FCA regulations applying to a MiFID firm
You will have a good understanding of investment products and financial markets;
Strong communication, ownership and matter management skills are essential.