Compliance Manager - Asset Management

Taylor Root
England, London
13 Mar 2019
10 Apr 2019
Guy Fraser
Vacancy Type
Other, Other
Full Time
Experience Level
Not Disclosed

The Company

The firm has an average employee turnover of 7 years and with over 2000 employees across 28 countries. The firm is part of a global financial services group and offers multi-asset investment solutions to their clients (Fixed Income, Equities, Quantitative Investing, Real Estate, Structured Finance).

The Position

Compliance Manager to act as a business partner to the firm's 3 regulated entities.


  • Advise the business on compliance related issues arising from compliance reviews
  • Maintain awareness of regulatory developments and how these might impact the business
  • Attend regulatory business governance meetings providing advice on the development and launch of new products, new business models etc.
  • Work with the business to enhance controls and be the "voice" of compliance
  • Assist the business with regulatory submissions and filings
  • Contribute to the annual compliance plan with regards to prevention and culture

Key skills & experience

  • 5 years+ Asset Management experience
  • UK regulatory knowledge within the compliance department of an asset manager
  • Proven track record of building strong relationships with business leaders
  • Strong written and oral communication skills

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.