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Senior Compliance Manager Summary My client, a Global Investment Management business is looking to appoint a Compliance Manager for their UK and wider EU business. The successful applicant will work closely with Tax, Accounting, Finance, Risk, Insurance, Investor Relations and all other relevant functions in order to ensure that the Compliance function is delivered in an efficient, effective and holistic manner. Role ObjectivesManage Compliance within the European business. This includes responsibility for: Monitoring compliance with the obligations arising under the policies and procedures supporting the European business;Maintaining a manual of required policies and procedures including those policies required for ensuring compliance with the relevant FCA, and other (eg; AIFMD) rules and regulations and monitor compliance with those policies and procedures;Maintain current and accurate list of FCA Approved persons, including filing forms for new approved persons and removing those who have left - principal user on FCA CONNECT system for thisMaintain register of client classifications and ensure all new and potential clients are classified prior to undertaking any businessReview all promotional material relating to investment business and approve prior to issueProviding new approved persons with training and records requiredMaintain and undertake a programme of quarterly monitoring to ensure continued compliance with policies and procedures. Report quarterly on this to LLREI boardMaintaining the European Compliance Map and any requisite compliance registers and managing applications and renewals for individual and corporate licences required;Managing and coordinating annual policy reviews and on-going compliance training (review and monitoring training requirements and coordinate this training with Lendlease Corporation/Group;Managing Know Your Client checks in relation to all third-party entities;Promoting compliance initiatives generallyData Protection Perform the role of Data Protection OfficerLeading project group to review implement changes to data protection from GDPR including providing advice and guidance on current (DPA) and future (GDPR) requirements eg; where new contracts are put in place or new systems are being designedManage relevant policies and proceduresKnow Your Business Partner Lead contact for Cerico, Know Your Business Partner system.Coordinate with CBIT team to ensure that all KYBP requests submitted by the business are processed and followed through to conclusionCommunication with business on KYBP policy and Cerico systemPerform role of Money Laundering Reporting Officer in regulated business and assist with advice on anti-money laundering policies for wider business, for example residential sales teamMaintain register on gifts & entertaining, personal account dealing and breachesReport quarterly to RLT and CGC reporting in relation to compliance, corporate governance and related matters. Required Knowledge, Skills and ExperienceTertiary qualified in Accounting, Audit, Finance or Commerce or a similar disciplineRelevant post-graduate qualifications such as Graduate Diploma in Applied Corporate GovernanceStrong project management skillsStrong writing and verbal communication skills, including board presentation skillsExperience in a compliance and/or corporate governance role preferably in the funds or investment management industry with an in-depth knowledge of all relevant legislation including Data Protection Act If you meet the requirements of the role then please apply via the website or contact me directly at and I will be in touch to discuss the role in further detail.

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