Recruitment | Thomson Reuters GRC | --- Compliance Manager ---

Our client is a leading London based Fund Manager looking for a Compliance Manager/Associate Director.

Responsibilities:

? Associate Director's / Manager's role - the Associate Directors / Managers are responsible for assisting the CO in the management of the department, including attending Board and Committee meetings conjunction with the CO as and when requested. They are specifically responsible for providing guidance and training to the other members of the department and for conducting appraisals approving/rejecting any holiday requests for any staff that are directly managed by the Associate Directors.
? External Relations role - maintain effective working relations with the firm's regulators and external auditors. Respond to consultative documents (with reference to the CO), attend committees or discussion groups to promote appropriate compliance standards. Ensure the submission of prescribed information to FSA and other regulatory bodies both within and outside the UK or money laundering suspicions to the firm's MLRO, in accordance with prescribed timetables.
? Advisory role - act as a central point of reference and expertise. Provide advice proactively on UK and European financial services compliance matters in connection with both existing and new business proposals (liaising as necessary with the other Associate Directors and CO).
? Monitoring role - carry out compliance monitoring as directed, using a risk based sampling methodology including follow up reviews. Be responsible for the maintenance and development of the Compliance Monitoring Programme. Provide input to reports to the firm's management and the Risk & Compliance Committee (and any other forum as necessary) of the findings of compliance monitoring, in the form and frequency agreed from time to time.
? Training role - promote awareness of regulatory ?training and competence' requirements. Contribute to line management's assessment of the compliance training needs of the firm's staff. Assist with the identification of appropriate training arrangements including the provision of in-house training.
Unless reasonable efforts have been made to ascertain the nature of the firm's business activities such that relevant rules and controls could not have been identified, or suitable advice has been sought and reasonably relied upon.
? Monitoring role - the Associate Director shall be accountable for failure to carry out any monitoring as agreed and failure to identify and report systemic and regulatory risks likely to result in material financial loss or serious regulatory enforcement action. Unless the lack of sufficient and experienced resources to implement the approved plans has been reported to the Compliance Officer, or suitable external advice has been sought and reasonably relied upon, or notwithstanding the professional conduct of sample testing and enquiry the existence of financial or regulatory risk could not reasonably have been identified without specialist knowledge (e.g. of IT, forensic accounting, risk management etc).
? Training role - the Associate Director shall be accountable for failure to carry out any internal training as requested by the Compliance Officer.

Essential Skills/Knowledge/Competencies:

? Compliance and industry related qualifications which might be of benefit to the Group e.g. Member of the Securities Institute or other professional body
? Experience of comprehensive dealings with the FSA and other financial services regulatory bodies
? Working knowledge of MiFID
? Working knowledge of marketing regulations in UK, Europe, US (other jurisdictions desirable)
? Good understanding of Dublin UCITS
? Good understanding of other fund types - e.g. OEICs, QIFs based within the EU and overseas jurisdictions e.g. Cayman Islands

Please call Abul Ali on 0207 870 1093 to discuss or submit your CV below

Source: http://www.complinet.com/recruitment/jobs/job/details/id/44337

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