Compliance Manager
We are seeking a Compliance Manager to assist the Chief Compliance Officer in developing and maintaining our compliance framework. The ideal candidate will have a background in Compliance in asset management.
Main Responsibilities:
* Assisting in developing, maintaining, and updating the compliance framework across various areas.
* Policy and procedure setting, Compliance Risk Assessments, and Developing the Compliance Culture within the company.
* Oversight & control, Development and execution of the company's annual Compliance Plan.
* Providing expert compliance advice to portfolio managers and the firm generally.
* Identification and assessment of regulatory changes.
* Preparing regular and ad hoc reports for the Board of Directors and other governance forums.
Duties:
* Preparation of Compliance Risk Assessments, evaluating compliance-related topics with an independent mindset and proposing improvements.
* Developing and strengthening the firm's approach in building the firm's compliance culture.
* Developing and executing the Annual Compliance Plan, and periodic surveillance on key Policies (MAR, Personal Dealing, ABC, Best Execution, Conflicts of Interest, GDPR, AML, Fitness and Probity Standards).
* Strong oversight and hands-on approach with an independent and challenging mindset.
* Providing advice and support to portfolio managers and staff in compliance-related topics.
* Assisting in reviewing upstream regulatory changes and analysis of impact on the business.
* Preparing, reviewing, and advising on policies and procedures, including compliance policies and Group Policies.
* Supporting the CCO and Compliance team as required.
Key Skills, Experience & Requirements:
* 5 years' relevant Compliance experience in an asset management company or similar organisation.
* LCOI qualification or willingness to study for qualification preferred.
* Deep knowledge of UCITS Regulations.
* Strong knowledge of financial products and financial markets.
* ESG experience/industry knowledge an advantage.
* Knowledge and experience of MIFID and/or AIFMD a plus.
* Excellent verbal and written communication skills.
* Strong planning and problem-solving skills.
* Well organised with strong time management and relationship skills.
* Enthusiastic and eager to learn, self-starter.