Our client, a leading Investment Management firm, is seeking a Senior Manager to head up the Business Compliance function (and also act as Deputy Head of Compliance when required). Managing a team, duties will include;

•Distribution
Review financial promotions and fund documentation such as Prospectus, Accounts etc
Provide training to staff as required
Attend product development meetings
•European Issues
Monitor third party administrators in Luxembourg
Ensure branches in Europe act in a compliant manner in accordance with local regulations
Review literature for distribution into Europe
•Monitoring
Ensure monitoring reviews into all parts of the business are undertaken, report findings and follow up issues with the business
Oversee routine monthly and quarterly monitoring including PA Dealing, Investment & Borrowing Powers Log, FSA and US reporting
Providing support and overseeing shareholding Statutory Notifications
•UK Third Party Administrators
Ensure that activities are monitored regularly
Establish that TPA business operates in a Compliant Manner
Maintain relationship with TPA Compliance
•Regulatory Capital
Provide guidance on technical issues
Provide training to the Finance team where necessary
Review regulatory returns

You should be an experienced Fund Management Compliance Officer with detailed knowledge of UCITS regulations and FSA COLL rules. Knowledge of Luxembourg based SICAV and/or FSA prudential regulations advantageous, however more important is good team management experience and the ability to gain (& retain) credibility with the business.

Please call David Symes FCA on 020 7330 6966 for a confidential no obligation chat about this position or send your details to him as below.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.