£40000 - £45000 per annum
about 1 month ago
Our client is an award-nominated investment manager based in the heart of Liverpool city centre. Due to continued growth and success, they are looking for a Compliance Manager to join the business on a permanent basis.
This is a rare and exciting opportunity to join the team at a boutique investments house.
Reporting to the Operations Director, the Compliance Manager will take responsibility for the following:
- Assisting the fund management business in complying with relevant rules and regulations
- Monitoring changes to business practices and products
- Notifying the business of changes to applicable rules and regulations
- Writing Compliance policies and procedures
- Maintenance of the Compliance Manual
- Production of compliance reports for Board submission
- Dealing with regulated individual authorisations with FCA
- Promoting awareness of compliance with anti-money laundering rules
The Compliance Manager will meet the following skillset:
- Process driven
- Willing to go "above and beyond" their job role in fitting with our client's small company ethos
- Ability to work in a small team
- Understanding of relevant rules and regulations applicable to the business in particular COBS and COLL
- Previous experience within investment management
If you believe your experience meets the criteria, please apply with a copy of your CV.
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