Eames Consulting are currently supporting a well established Investment Manager looking to appoint a Senior Compliance Manager in a generalist role.
Responsibilities:
Advisory
* Provide expert compliance advice and technical guidance across wealth and portfolio management business areas
* Interpret and apply relevant FCA and SEC regulations to business activities
Monitoring & Oversight
* Lead compliance monitoring reviews and thematic assessments
* Identify control gaps and recommend enhancements to strengthen the control framework
Policy & Governance
* Maintain and update compliance policies and procedures in line with regulatory developments
* Support regulatory reporting and submissions
* Attend and contribute to governance committees as a Compliance representative
Stakeholder Engagement
* Build strong relationships with senior management, regulators, and internal stakeholders
* Deliver training on key compliance topics, including SEC requirements
Risk Management
* Assess regulatory risks and implement appropriate mitigating actions
* Support root cause analysis of incidents, breaches, and complaints
Requirements:
* An experienced Compliance professional with a strong background in wealth, asset, or investment management, including exposure to retail clients
* In-depth knowledge of both FCA and SEC regulatory frameworks
* Solid understanding of key areas of the FCA Handbook relevant to retail clients
* Proven experience partnering with front office teams, providing guidance on queries and challenges faced by wealth managers, fund managers, and portfolio managers
* Good working knowledge of SEC rules and regulatory requirements
* Awareness of regulatory considerations relating to international clients is advantageous