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Deputy Head of Compliance - Asset Management

  • Location: London
  • Sector: Compliance
  • Salary: £90000 - £110000 per annum
  • Job type: Permanent
  • Date posted: 26/10/2017
  • Job reference: 27690
This vacancy has now expired.

Our client is a leading retail and institutional asset manager based in Central London

Responsibilities of the role include:

  • Provide advice to Front Office and Client relationship teams on regulatory matters
  • Reviewing and approving financial promotion material
  • Prepare reports for management giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place
  • Monitor and review of Fund regulations and restrictions on investments
  • Approving the monitors reports
  • Review regulatory developments and assess the impact on business procedures and monitoring programmes
  • Provide a regulatory advisory service to the business on regulatory requirements

The successful candidate will have relevant experience at a senior level as well as having a proven track record of identifying, assessing and monitoring compliance issues in an asset management firm.

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