SENIOR COMPLIANCE MANAGER-Asset Management

Job Title: SENIOR COMPLIANCE MANAGER-Asset Management

Reference: AJB JB AM 54

Location: LONDON

Assignment Profile:
Our client is a highly regarded Asset Manager based in the city of London with a global presence. They are seeking a senior manager to act as the Head of London Compliance. There will be management responsibility, but this will not be a controlled function Purpose of the Role Responsible for managing and supervising the Firm’s compliance efforts, with a focus on regulatory and portfolio compliance relating to the conduct of the Firm’s investment management business. Our client is seeking an established candidate with solid regulatory experience and management ability, who can come in with minimal training required and operate at a senior management level. Duties and responsibilities

• Management of London legal & compliance team, and member of senior management.


• Experience with drafting and administering compliance policies and procedures.


• Experience with implementing and maintaining a compliance monitoring program (internal process to review our own practices to ensure we are complying with our own policies).


• Assist in supervising team of Portfolio Compliance Officers including:
  
  
  
  • Training and development of staff members
  
  
  • Research breaches and implement safeguards to prevent further occurrences
  
  
  • Supporting special projects as assigned by the Department Head
  
  
  
  


• Point of contact with FSA representatives, expert on FSA exams and regulatory requirements.


• Understanding and familiarity with issues relating to Dublin/Lux funds and UCITS.


• Knowledge of US SEC regulatory requirements


• Assist in resolution of corporate legal issues.


• Ability to manage AML procedures.


• Experience and ability to work with colleagues in offices outside UK – preferably with a US affiliate.


• Awareness of regulatory requirements of other jurisdictions (European Union at a minimum).

Candidate Profile:
The successful candidate will be a graduate with additional industry qualification and have at least 5 years asset management compliance experience within a highly regarded company Proven leadership qualities, motivating team and mentoring, where appropriate. Excellent interpersonal skills – need to be ambassador for Legal & Compliance to all other internal departments. Supervisory and team working skills and able to work independently with remote supervision. Presentation skills–need to be able to meet with current or prospective clients, conduct seminars for for employees. Excellent oral and written (attention to detail) skills. Fixed income asset management experience, if not fixed income, at least asset management (as opposed to brokerage compliance). Detail oriented. Team player, with pro-active attitude towards accomplishing tasks.

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £80-100,000 Plus Benefits

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