Compliance Manager - 12 mth FTC

INTERIM COMPLIANCE MANAGER - GLOBAL ASSET MANAGEMENT

We have been mandated by an institutional asset management who are looking for an experienced Compliance generalist to work as an effective interim Deputy in their London Compliance team for a 12 mth contract.

DUTIES & RESPONSIBILITIES OF AN INTERIM COMPLIANCE MANAGEMENT

• provide regulatory advice AND mentor junior team members
• Undertake monitoring and surveillance and assist with financial promotions reviews
• Maintain policies, review PA Dealing requests and conduct thematic audits/reviews
• Deal with AML issues - including financial crime controls reviews.
• On-board new employees and provide regulatory input into new products/initiatives
• Assist with training, undertake regulatory reporting and filing and work on wider strategic Compliance projects.

QUALITIES & ATTRIBUTES NEEDED TO BE AN INTERIM COMPLIANCE MANAGER

You will have a minimum of 5 years' Compliance experience from an asset management background - ideally with UCITS and/or alternative investment funds experience.

You must be able to manage others and be able to work at both a strategic level and a BAU level in terms of duties and responsibilities.