Compliance Manager, Asset Management

  • Job Reference: 12776
  • Date Posted: 7 November 2019
  • Recruiter: Carr Lyons
  • Location: London
  • Salary: On Application
  • Sector: Compliance
  • Job Type: Permanent
  • Work Hours: Full Time
  • Contact: Duncan Jeffery
  • Email:

Job Description

The Group Head of Regulation is looking for a highly motivated business facing Compliance Officer / Manager to operate in an entrepreneurial environment.
You will be expected to become a partner to the business and to be proactive and be involved in every aspect of the business.  
A deep understanding of asset management and the relevant products will be essential.
The Asset Management piece is an area of growth for the wider group so you will have the support of the larger group
In particular, the firm has focussed on tax-efficient investments including Venture Capital Trusts (“VCTs”), Enterprise Investment Scheme (“EIS”) and Business Property Relief (“BPR”) qualifying offers.

Key Job Functions:
Ongoing and ad hoc compliance advice to the different lines of business
Keeping the company up to date on applicable regulatory change / developments 
Ensure controls, policies and systems are robust and fit for purpose.  This will include ongoing monitoring and thematic reviews with follow up recommendations.
Ad hoc project work.

Key Stakeholders:
Front Office Business units, Operational management, Compliance Department, Senior Management

Key Skills / Experience
A minimum of 4 years' experience in an asset management  compliance capacity.
Knowledge of VCT, EIS or Private Equity alternative products would be desirable but not essential.
Experience providing advice on FCA handbook rules to an asset management business.
Self-starter and highly motivated.
Able to engage with key stakeholders across the business and otherwise and to become involved in every aspect of the businesses activities.
Excellent written and verbal English skills.