COMPLIANCE MANAGER-Asset Management (3rd Party Admin/Operations)

Our client is a leading international and multi-jurisdictional asset manager, with both retail and institutional clients and several billions of Assets Under Management (AUM)

They are seeking to employ a Compliance Manager to join the compliance department reporting to the Head of Distribution (Financial Promotions) in delivering high quality advice and regulatory support to the Operational functions. You will build strong working relationships with Operational teams meeting their need for regulatory interpretation and advice on all areas of Fund operations.

Responsibilities will include the following;

• Overseeing the breaches and complaints interaction and reviewing MI and root cause analysis produced by the Operations Department and third party administrators;
• Trustee and Depositary liaison;
• Third Party Administrator oversight, alongside Operations;
• Assistance with CASS matters;
• Oversight, advice and reporting of pricing errors;
• Assistance with board reporting

Additional Requirements:

• Annual Performance Appraisal
• Completion of all assigned Compliance training
• Annual Attestation (Knowledge and Competence in-scope roles only)
• Understand and follow laws and regulations applicable for your role, seeking the help of your supervising manager or Compliance if you would like further explanation or direction regarding this
• Understand and abide by all company policies applicable to your role, and ask for the support/guidance of the policy owner if you are unsure at any time
• Place the interest of Clients first and always act in accordance with TCF (Treating Customers Fairly) principles
• You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary.
  

CANDIDATE PROFILE

• Good working knowledge of asset management and the Funds industry, a minimum of 3 years would be preferred
• Good experience gained in a similar role or working at a Funds Transfer Agent or Valuation and Pricing organization;
• Sound understanding of market practices and principles, with a particular focus on Fund Operations;
• Good knowledge of regulatory environment in UK and Europe;
• Ability to build and maintain relationships internally and externally;
• Good planning, organizational and prioritization skills;
• Ability to meet tight deadlines and work in a pressurized environment;
• Excellent interpersonal skills, both written and oral;
• Self-starter.
• Good IT skills, including PowerPoint, Excel.