EXCLUSIVE: PART TIME COMPLIANCE MANAGER 2D PW – INVESTMENT MANAGENENT (INC AIFMD KNOWLEDGE) COMPLIANCE EXPERIENCE REQUIRED
£60K - £80K Pro Rata + benefits REMOTE
Ref:4159D
We are exclusively recruiting for an Investment Management firm now looking to replace their recently retired Compliance Manager. Reporting to the Partners (one who also holds SMF 16 &17) duties include;
* Ensure compliance with FCA rules, AIFMD, and MiFID II requirements.
* Maintain and update compliance policies and procedures for alternative investment funds and MiFID activities.
* Monitor regulatory developments and advise management on implications.
* Assist in any FCA queries.
* Conduct regular compliance monitoring reviews and risk assessments.
* Review compliance registers (breaches, gifts & hospitality, conflicts of interest).
* Report compliance findings to senior management and recommend corrective actions.
* Assist with monitoring Appointed Representatives, ensuring they meet FCA requirements and internal standards.
* Support SM&CR processes, including fitness and propriety assessments and certification.
* Assist with GDPR compliance and data protection obligations.
You should have five years or more UK experience in Investment Management Compliance with a good knowledge of the FCA Handbook, AIFMD, MiFID II, SM&CR and UK Conduct Rules generally. The role is fully remote but may require a (fully expensed) quarterly meeting at their head office in central Manchester hence you must be UK based with full working rights. Also in the medium term the successful candidate may take on (if willing) the SMF 16 & 17 at a higher pro rata salary to reflect such.
NB the 15 hours role must be daytime but can be arranged to either be 2 full 7.5 days per week or eg 3 hours each day to suit childcare (or any mix provided a consistent arrangement) so may suit working mothers, recently retired full time Comp Managers etc. So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.