Fixed Term Contract Compliance Manager – 12 months

Job Purpose: To act as a Compliance adviser to a global asset manager with a focus on Funds & Distribution Compliance, Anti-Financial Crime (AML, KYC and due diligence), oversight of outsourced providers, and the management of conflicts of interest.

The role sits within a small Compliance team, so a generalist approach will be important.

Key Accountabilities:

• Assist and advise the Group when assessing new business opportunities in respect of compliance matters.
• Work with the Distribution and Marketing teams to provide timely, efficient and practical regulatory advice and guidance.
• Be responsible for the day-to-day regulatory requirements relating to Anti-Money Laundering, Anti-Fraud, Anti-Bribery and broader KYC requirements.
• Work with, liaise with and build relationships with the relevant teams in the Group’s head office.
• Be responsible for ensuring that the monitoring of all systems and controls in relation to the above topics is robust and effective.
• Ensure that appropriate training and education are provided on these topics and, where relevant, deliver in-person training sessions to the relevant teams.
• Work with the Head of Compliance UK and Europe in respect of any internal or external audit reports relating to the broader Compliance Monitoring Programme.
• Manage, update and consider all conflicts of interest raised with Compliance. Maintain the annual review process that accurately records, evidences and registers all known conflicts of interest across the firm.
• Assist in providing reports and escalating relevant issues, as required, and prepare relevant communications for senior management.
• Assist in promoting a strong culture of compliance across all parts of the business, including updating internal policies, procedures and regulatory requirements across the firm. This will include the provision of regulatory training through a combination of computer-based training and in-person training sessions.
• Assist with, and manage where applicable, the implementation of regulatory developments, working collaboratively with the business to facilitate appropriate impact assessments and gap analyses, and to ensure relevant implementation requirements are executed to a good standard and in a timely manner.
• Maintain the firm-wide regulatory tracker and research relevant regulatory topics as necessary.
• Maintain compliance policies, procedures and registers.
• Provide strong back-up to the Senior Compliance Manager across topics such as CASS, SMCR, code of ethics, transaction reporting and certain key front-office areas of oversight.
• Maintain the code of ethics suite, including PA dealing, gifts and entertainment, registers and records.
• Act as a key point of contact for all compliance queries.