Job Title:	Compliance Manager - Asset Management
Reference:	Compl 3386
Salary:	£65,000 to £80,000
Location(s):	London, London East, London North, London South, London West, Middlesex, City of London
Industry(s):	Financial Services
Advertiser:	Compliance Professionals Ltd
Employment Type:	Permanent
Posted:	01-10-2009

Description:

THE COMPANY:

Our client offers investment management services to global investors, investing in equity, fixed-income, derivatives, asset allocation and alternative investment products on a worldwide basis. They offer its products through fund vehicles (such as OEICs, SICAVs and US Mutual Funds) and segregated institutional accounts. The Law Division in London is responsible for providing legal and regulatory support for all aspect of the European Investment Management business.

THE RESPONSIBILITIES:

The position is a key position within the Compliance team as the candidate will be involved in all compliance aspects of the institutional business as well as being part of the team responsible for the compliance monitoring programme.

The candidate will join a team of 7 compliance professionals in London. The position also involves close liaison with Legal colleagues in London and co-operation with Legal and Compliance professionals globally.

Specific responsibilities include:
• Working with the business in the implementation of adequate polices and procedures to meet the Firms regulatory requirements
• Providing regulatory advice on all new marketing strategies for the Institutional businesses and providing regulatory sign-off on their promotional materials
• Review of pre and post trade guideline monitoring for the Fixed Income, Structured Solutions and Liquidity businesses as well as dealing with any breaches, complaints or errors for these areas
• Implementation of the monitoring plan to provide suitable Compliance oversight of the institutional business
• Co-ordination of the Chief Compliance Officers Report and monitoring program in accordance with SEC rules
• Co-ordination of FSA reporting, Training and Competence and registration requirements

EXPERIENCE REQUIRED:

• Relevant compliance expertise including monitoring experience
• Fixed Income and Derivatives experience is highly desirable
• Knowledge of Sentinel (Latent Zero) or any guideline monitoring system would be an advantage

For further information, please contact Spencer Evans on spencer.evans@complianceprofessionals.co.uk quoting ref 3386