Compliance Manager - Investment Management - London, United Kingdom,


This is a fantastic opportunity to get more exposure to a variety of clients and expand your investment management compliance experience:

  • Undertaking a range of compliance projects on behalf of established clients
  • Providing detailed audit reports and making recommendations to the clients of any areas requiring attention
  • Undertaking Training and Competence visits to clients
  • Conducting client file reviews
  • Assisting with the development of compliance policies and procedures
  • Providing a compliance helpdesk function to the firm and its clients
  • Referral point for junior colleagues
  • Identifying and recommending technical skills training where judged appropriate
  • Maintaining an up to date knowledge and understanding of regulatory policies, including, Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence and the other areas applicable to MiFID firms

To apply for this role you must have experience of compliance (general compliance, advisory, monitoring etc) with a MiFID2 regulated investment management firm as a permanent or contractor, or you may have conducted file reviews etc for these types of investment managers, or you may have a consultancy background dealing with investment / asset management clients. Working knowledge of financial Investment products including but not limited to physical equities, derivatives/CFDs and various types of funds.

This is a fantastic role which will offer huge scope and exposure with great career development opportunities.