Compliance Manager - Asset Management


GBP60000 - 70000 / annum



Date posted:

4th January 2019

Employment type:


Job reference:


Staffing area:

Financial Services


Compliance Manager


Asset Management


Compliance Monitoring Programme Assisting the Compliance Team with:

  • Implementing a risk-based Compliance Monitoring Programme.
  • Conducting the risk-based Compliance Monitoring Programme
  • Conducting regular reviews of the Compliance Monitoring Programme and implementing any required revisions.
  • Working with various business areas to obtain required input and assistance with testing.
  • Reporting in respect of compliance monitoring outputs

Compliance surveillance and regular monitoring

  • Undertaking regular compliance monitoring checks in relation to (but not limited to) the following areas:
    • Best execution (e.g. fair value pricing, transaction cost analysis) o Conflicts of interest (e.g. personal account dealing, gifts and benefits)
    • Anti-money laundering (e.g. client onboarding) o Market abuse (e.g. MAR wall crossing framework)
    • IMA investment restrictions (e.g. breach forms, reviewing OMS restrictions)
  • Maintaining compliance registers and associated records (for example, breaches, complaints, gifts and entertainment, PA dealing)
  • Working with the relevant business area(s) to resolve internal and external investment restriction breaches
  • Undertaking surveillance activity such as reviewing recorded telephone calls, reviewing trading patterns, attending high risk meetings with issuer management teams and reviewing records kept by Portfolio Managers

Drafting and submitting UK and international shareholder disclosure notifications

Regulatory returns

  • Drafting and submitting regulatory returns to the FCA via GABRIEL
  • Drafting and submitting regulatory returns to the SEC and the Ontario Securities Commission
  • Drafting and submitting Approved Persons applications to the FCA

Business relations and reporting

  • Investigating and reporting compliance issues relevant to the business to the wider Compliance Team at team meetings and at monthly Compliance Committee meetings
  • Communicating with and assisting all areas of the business, where required, on general compliance matters
  • Assisting the wider Compliance Team with developing a positive working relationship with the business and a culture of compliance
  • Working closely with the Operations Team on operational compliance matters such as trade and transaction reporting

Working closely with the Dealing Team on compliance matters relating to execution (for example best execution, TCF, broker on-boarding and broker reviews)

Risk assessment

  • Assisting the wider Compliance Team with embedding compliance risk management processes, systems and controls across the Group

Record keeping and management information

  • Preparing compliance related management information for board and risk committee papers.
  • Ensuring the accurate and complete record keeping of compliance related documentation

Policies and procedures

  • Assisting with the design, implementation and periodic review of policies and procedures.

Financial promotions

  • Conducting compliance reviews of marketing materials such as quarterly reports, fund factsheets, company presentations, press releases, blog posts and tweets

Knowledge and Experience

  • 4 years' minimum compliance experience in a regulated investment management environment (FCA preferred, but SEC and ASIC also considered). Experience of equities is preferred.
  • A regulatory or risk background would be a considerable advantage, particularly knowledge of UCITS, MiFID II and EMIR.
  • Solid experience in Compliance Monitoring.
  • Prior exposure to Bloomberg terminals and an execution management system would be advantageous
  • A confident and engaging personality with an initiative led approach to work.

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:


10th Floor, The Shard
32 London Bridge Street
0207 389 6900
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