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The Compliance Manager reports to the Compliance Officer, CF10/11.
The role is broad and will require you to be flexible and proactive when completing tasks, mainly monitoring. You will have a minimum of 1 – 2 years general compliance experience, in financial companies (Asset Management company experience is preferred but not required). You will be keen and motivated to learn and progress in your career and deliver effective support to the Compliance Officer on day-to-day tasks.
This opportunity is ideally suited to an individual with a strong interest to learn broad general compliance processes in a small company environment.
Your Responsibilities Will Include:
- Daily and monthly compliance monitoring - Manage all compliance monitoring tasks
- Assist Compliance Officer on sign-off of all marketing material
- Maintenance of personal account dealing transactions
- Scheduling and administering regulatory returns
- Scheduling and administering third-party computer-based training modules and ensuring full completion by staff
- Administering company documents such as Compliance Manual, broker documents, Portfolio Management Rules
- Assisting Compliance Officer in the implementation of new regulatory rules
- Manage the day-to-day administration of compliance records i.e. FCA Annual Controllers Report, Financial Returns, etc.
- Manage client files in accordance with FCA regulations and maintain client records including guideline breaches, complaints and termination
- Experience in the fund business, particularly in UCITs funds is preferable