INVESTMENT COMPLIANCE MANAGER

Job Title: INVESTMENT COMPLIANCE MANAGER

Reference: AJB JB TM AM 01

Location: London

Assignment Profile:
Our client is a highly regarded Asset Management company, they are seeking to recruit an Investment Compliance Manager to work in London office.  The Investment Compliance Manager will work with portfolio management, relationship management, operations, others in Legal and Compliance, and others across the firm on key aspects of the intake of client accounts.

The successful candidate will be primarily responsible for the implementation of guideline coding for new accounts, revisions, and updates to existing accounts in a timely manner. You will also lead a team of analysts tasked with ensuring that the daily monitoring of the team’s accounts is complete, with issues properly identified for resolution. You will also be the first point of escalation for resolution of potential compliance breaches.

The Compliance Manager will work collaboratively with other Compliance Managers to develop and execute the agenda of the overall Investment compliance team, including areas such as process improvement, system enhancements, and globalization.  You will be expected to display sound business judgment in driving results and creating and implementing creative business solutions to complex compliance issues.

Candidate Profile:
The successful candidate will be of graduate calibre. Relevant work experience in the financial services industry, law, or a related area are required as is several years compliance experience within Asset Management

Advanced degree work, including CFA designation or other professional certification would be a plus)

You will have a strong working knowledge of securities across asset classes, as well as prior experience monitoring investment guidelines, coding investment restrictions into a vendor or proprietary compliance monitoring system (preferably Fidessa’s Sentinel product), and prior management experience.

In addition, you will be self-confident, a self-starter, results driven, have an inquisitive mind, and be controls conscious.

Strong organizational skills, project management skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team are critical.

Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn our compliance monitoring systems, Sentinel.

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £60-90,000 Plus Benefits

If you feel you are a suitable candidate for this position please contact Jonathan Banjo.