Compliance Manager - 1 year FTC - Asset Management


Salary:

GBP60000 - 75000 / annum

Location:

London

Date posted:

6th February 2019

Employment type:

Project

Job reference:

06030-0010794459

Staffing area:

Financial Services


Description

Compliance Manager

1 year fixed term contract

£60K-£75K

Asset Management

Compliance duties:


▪ Support quarterly compliance monitoring programme with external consultants
▪ Review and sign off of marketing and financial promotion documentation (eg fund quarterly reports, presentations)
▪ General support for compliance platform - maintenance of compliance registers and compliance logs
▪ Ensure regulatory training and attestations are undertaken on a quarterly basis.
▪ Support regulatory change projects (SMCR, MiFID II)
▪ Drafting, updating and reviewing policy documentation
▪ FCA GABRIEL filings / reporting
▪ Support Data Protection / GDPR framework & activities; working with external consultant
▪ Document processes and controls
▪ Supporting customer onboarding documentation process (Encompass, Worldcheck)
▪ Management of KYC / AML processes
▪ Compliance advisory / day to day requests


Legal duties:


▪ Negotiation and review of legal documentation (NDAs, customer terms of business, commercial agreements)
▪ Assistance with contentious matters
▪ Co-ordination with external counsel as required
▪ Support legal sign off process in relation to documentation execution

Requirements

FCA regulated financial services compliance experience (5 years minimum)
Legal or Compliance qualification

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://www.roberthalf.co.uk/privacy-notice



London

10th Floor, The Shard
32 London Bridge Street
London
SE1 9SG
gb
0207 389 6900
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