Compliance Manager

DUTIES & RESPONSIBILITIES OF AN INTERIM COMPLIANCE MANAGER

• 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.