Compliance Manager - Investment Management
Investigo Compliance
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Compliance Manager - Investment Management

Investigo Compliance

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Details
Posted:
January 4, 2021
Location:
London, United Kingdom
Salary:
Open
Type:
Full Time

Key responsibilities: 

  • Deep technical FCA regulatory knowledge for the asset management sector and the rules which apply to the business
  • Detailed understanding of MiFiD II, AIFMD, SMCR and other relevant European and/or US Regulation
  • Draft new policies in response to regulatory change
  • Maintenance and development of the Group Compliance Manual and risk and compliance monitoring programme
  • Review and sign-off of financial promotions
  • Working knowledge of AML and KYC 

Successful candidates will have: 

  • Significant compliance experience within asset management 
  • Knowledge of AIFMD and SMCR as well as broader knowledge of the FCA handbook
  • Experience working with senior stakeholders 

Internal Number: 9207156
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