Job Title: COMPLIANCE MONITORING INVESTMENT GUIDELINES AND GENLIST MANAGER –Asset Management


Reference:AJB JB AM 177


Date: 18 Jul, 2018

Location: City


Assignment Profile:

Our client is a multi-jurisdictions global asset management company embracing long-only, hedged and private debt investment strategies, employing staff in its offices in London, Europe USA and Asia. Our client manages a number of funds regulated by the FCA, SEC with varying structures (UCITS, AIFs, etc.), strategies and asset types. They are seeking to employ a Compliance Monitoring Manager who will principally, but not solely, be responsible for compliance monitoring (including Investment Guidelines). The Compliance Monitoring Manager will report to the Head of Compliance. The successful candidate will principally be responsible for compliance monitoring; however it will be a varied role, covering all areas of compliance (advisory, project-based, etc.), according to the demands and needs of a busy, globally-focused department. In general, the candidate is likely to cover some of the following, dependent upon the successful candidate’s skills set: • Completion of daily monitoring tasks, including monitoring of: o Investment mandate adherence (against, IMAs, side letters, etc.); o Restrictions and exposures monitoring (UCITS restrictions and exposures, fund-specific exposures, etc.); o Restricted list monitoring; and o Global shareholding positions (DTRs, short position disclosures, etc.), for possible market disclosure; • Performing elements of the Compliance Monitoring Programme, which includes, inter alia, the monitoring of adherence to internal policies and procedures, market abuse surveillance, trading, allocation and aggregation, best execution, etc. Maintenance of, including coding in relation to, the Firm’s Order Management System’s (Eze Software) compliance module’s rules and procedures; • Maintaining new joiners/leavers files and Training & Competence files. Preparation of approved persons forms and update of approved persons records accordingly; • Maintaining policies, procedures and processes relating to: PA trading records, gifts and entertainment, Bribery Act, error logs etc.; • Reviewing and signing-off of Financial Promotions and other marketing materials (e.g. monthly fact sheets, investor presentations, etc.); • Preparation and submission of regulatory reports to FCA and SEC, including Annex IV, Form PF, Gabriel returns, Form ADV, 13F etc.; • Assisting the Head of Compliance in preparing regulatory reports to the FCA and SEC; • Assisting the Head of Compliance in meeting the AIFMD risk management requirements; • Administration, including preparation and maintenance of the Compliance policies and procedures; • Regulatory research to assist the Head of Compliance (including FCA, SEC, MAS, FSA, CSSF, CBI, ESMA, shareholding disclosure requirements and any other local regulatory requirements impacting the business); • Undertaking KYC and due diligence activity, as required;

Candidate Profile:

• Ideally the candidate should have professional qualifications, and/or be degree-educated; • The successful applicant would ideally have a minimum of 4/5 years monitoring experience of UK financial services compliance, in an asset management or funds environment, preferably with regards to UCITS and open and closed ended AIFs encompassing a broad range of investment instruments; • Knowledge of AIFMD and MiFID requirements that apply to full-scope AIFMs; • Knowledge and experience of regulatory reporting, especially Annex IV and Form PF. • Attention to detail, very good analytical and communication skills and a pro-active, hard-working and positive attitude is a must as the Compliance M will be working in a time-critical environment; • A good standard of basic mathematics is essential, including effective use of Excel spreadsheets; and • Good knowledge of pass-porting, licensing and marketing regimes including the process of reviewing factsheets and presentations.

Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £80-90,000 Plus Bonus and Benefits


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

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