Compliance Manager - Consultancy
1 day left
- Full Time
Our client is an award winning compliance consultancy and service provider with headquarters in London and offices in Asia and Northern England
They provide ongoing support to over 200 institutional clients such as hedge funds, asset management firms, corporate finance advisers and wealth managers.
Based in the London office, the Compliance Manager will contribute to the team's interaction with compliance clients and oversee the work of 2-3 Compliance Associates. The Compliance Manager will conduct periodical compliance reviews, manage a compliance monitoring program and ensure regulatory oversight of the assigned clients on a day to day basis.
1.Manage the ongoing compliance monitoring plan for a portfolio of clients (hedge funds, investment managers, corporate finance advisors, wealth managers, crowdfunders)
2.Oversee a small team of Compliance Associates in their daily tasks
3.Conduct periodic calls with clients of the firm to discuss compliance tasks and monitor their conduct and compliance documentation
4.Perform a variety of special compliance projects and thematic reviews and sign-offs
5.Collate compliance requests and articulate issues to the compliance committee for discussion
6.Complete various client facing tasks, office visits and file reviews
Experience in working in an FCA compliance environment with a good understanding of the financial services industry. The ideal candidate will need to have a strong background in generalist compliance ideally within a Compliance Consultancy business but this is not essential. Experience of managing a small team within compliance is desirable.
Please quote (41141) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.