Job Title: GENERALIST COMPLIANCE MANAGER -Asset Manager


Reference:AJB/ JB AM 176


Date: 27 Feb, 2018

Location: London


Assignment Profile:

Our client is a highly regarded Asset Manager based in London with several £billions under management. They are seeking a compliance manager to join the small compliance team in a generalist role Purpose of the Role Develop and maintain excellent working relationships internally and externally Comply with the requirements of the UK/U.S regulatory regime and all applicable company principles, rules, procedures and codes of practice Maintain professional development Support the marketing and selling effort of the group Good understanding and experience of an order management system – preferably Bloomberg AIM (which is what VAM use) but other OMS’ would also be considered such as latent zero e.g. Sentinel or Charles River – understanding of client investment guideline restrictions (coding, rules management, pre and post trade compliance monitoring). Very good experience of trading compliance (e.g. Allocations, Best Execution – especially given the post MIFID II environment which demands enhanced monitoring around trading/anti market abuse Good understanding and application of the FCA handbook (Conduct of Business rules in particular) Regular compliance tasks such as managing shareholding disclosures, Global regulatory filings (SEC, FSB, UK) as well as more admin oriented tasks e.g. maintaining logs and registers for personal account dealing, Gifts & Entertainment, Conflicts of Interest, Corporate Access Log etc Willing and happy to deal with admin related tasks and support the Head of Compliance. Duties and responsibilities Conducting routine compliance monitoring and assisting in more detailed, thematic compliance monitoring reviews of the Business. Assist in updating policies and procedures/record keeping Implementation of Regulatory Initiatives Assisting in provision of Compliance Advice to the Business and responses to Due Diligence queries from existing and potential investors. Review of marketing materials, factsheets, RFPs, website content etc. Keeping up to date with Regulation (UK/U.S/EU) Obtain annual broker confirmations eg phone recording, transaction reporting Assist in preparation of Regulatory Returns to the FCA, SEC, OSC, FSB and other regulators Assistance with preparation of Board papers and attendance at the quarterly Compliance Committee Preparation of stock exchange substantial holdings reports and requests from Companies/Issuers Bloomberg AIM– pre and post trade investment guidelines coding, checking and approval Maintenance of compliance records e.g. PA dealing, gifts and entertainment, breaches and complaints, training and competence, approved persons, conflicts of interest register etc. Involvement in other ad-hoc projects AML Risk profiling and review of client AML documentation To assist with the maintenance the AML and customer due diligence procedures Screening for sanctions, HM Treasury Lists, PEPS, Higher risk accounts Awareness and familiarity with AML Regulations – JMLSG, FATF, HM Revenue & Customs, UK Bribery Act. Knowledge of Irish AML Regulations would be advantageous.

Candidate Profile:

The successful candidate will be a graduate who wishes to build a career in Compliance. Preferably 3/5 years‘relevant experience within Investment Management. Good understanding and application of the UK FCA Handbook in particular, Conduct of Business rules. Previous exposure to Global Regulations will be an advantage – U.S/EU/HK/South Africa/Australia. Must be numerate, literate and have a good understanding of investments, markets etc. Genuine interest in being part of a small, busy, successful investment management firm and who will thrive in ‘getting their hands dirty’ and be unafraid of working in a challenging environment. Team oriented.

Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £65,000-75,000 Plus Bonus and Benefits


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

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