Senior Manager Investment Compliance
The Company
Robert Half Financial Services Group are looking for a Senior Manager to work in Investment Compliance.
The Role
Expectations Thorough understanding of the regulatory environment and main sections of the rules relevant to functions covered by sub-set of the team (i.e. retail, marketing, fund management); Thorough understanding of wider regulatory rules that impact an Investment Management organisation; Ability to efficiently source information about regulations and regulatory changes; Up to date understanding of the main issues and proposals coming out of the FSA; Able to review FSA/EU/SEC regulatory proposals and be able to summarise likely impact on the business; Development and upkeep of internal regulatory and compliance rules; Acting as a source of advice for the business on on-going matters and regulatory developments for a business area; Informally supervise more junior team members, giving advice, support and training where necessary. Key Responsibilities (General) Responsible for the completion of monitoring tasks in accordance with the compliance plan; Where issues are identified, making appropriate recommendations to the business to strengthen compliance control; Produce detailed reports of monitoring activity and liaise with the relevant individuals to ensure that appropriate corrective action is carried out; Assist with the delivery of compliance training (whether through regulatory update papers or in person); Resolution and follow up on breaches which have occurred within offshore regulated funds and hedge funds, providing guidance and interpretation where necessary; Ensure the issues and recommendations log is used effectively used to track issues until resolution. Key responsibilities (specific) Specific concentration on the use of derivatives and monitoring including pre-trade advice where the scope for investment requires analysis; Provision of advice on structured products and ensuring that there is a comprehensive system in place to track advice given; Specific oversight and support to Offshore Administration, concentrating on operational controls and effectives of outsourced activities under the responsibility of the department head;
Salary & Benefits
£65,000 - £85,000
Robert Half International will only consider applicants who hold the required visas for work in the United Kingdom. Robert Half Ltd is acting as both an employment business and an employment agency.
Salary: £65000 - £85000 per annum
Contact Name: Samantha Bullion
Email: samantha.bullion.36327.559@rhi.aplitrak.com
Phone: 0207 562 6500