Coopman Search and Selection are delighted to partner with a leading Investment Manager as they look to bring in a Compliance Manager to their Capital Markets division. The firm has seen significant growth in recent times, both organically and through acquisitions, with this role overseeing the compliance framework of a key business unit.
Check out the role overview below If you are confident you have got the right skills and experience, apply today.
Key Responsibilities:
* Lead on the development and maintenance of the Compliance Monitoring Programme for the Capital Markets division, covering both FCA and SEC regulatory requirements
* Oversight of one Compliance Analyst, assisting them with their day to day tasks; including trade execution and liquidity monitoring
* Liaise with Fund Managers and Administrators, as well as Custodians and other relevant counterparties on compliance matters.
* Production of risk and compliance reports for the funds managed by this area of the business, including reports on how risks should be mitigated and escalated
* Review and sign off on relevant financial promotions
* Work with external US regulatory consultants and occasionally oversee US regulatory reporting
* Ongoing design, implementation and periodic reviews of policies and procedures
* Contribute to and support the firm's wider compliance team with regulatory change initiatives and business wide training
Key Experienced Required:
* 4-5 years' experience working with UCITS funds within a MiFID Investment Manager
* Solid knowledge of COLL, MiFID II, and other sections of the FCA Handbook
* Strong product knowledge on UCITS, AIF and RIC products as well as knowledge on the marketing and distribution of these products in the UK, EEA and overseas jurisdictions
* Interest in the development and use of technology to develop and maintain records is highly attractive
* Educated to Degree level, ideally including a post-graduate qualification or professional diploma
* Excellent attention to detail, organised, and analytical
* Strong interpersonal skills and the ability to work both independently and collaboratively.
This is a great opportunity to join a high achieving business in an exciting period of growth. Please email shane.cassidy@coopman.uk for more details.
Coopman Search and Selection specialises in compliance, risk, accounting, and finance recruitment. We provide tailored retained, contingent, and interim solutions to meet the unique needs of our clients and candidates. As a proud Certified B Corporation™, we are committed to sustainable growth, balancing purpose and profit while prioritising positive social and environmental impacts for all stakeholders.