Monday 30 January 2023
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Client Compliance (Funds) - Manager

Risk & Compliance Enquire


Hours:Full Time

Full Description

Purpose of the role: To work closely with the Head of Client Compliance in delivering a robust compliance framework for a portfolio of regulated client entities. Responsibilities: Contributing to the preparation and maintenance of the client boards business risk assessments Undertaking both planning and execution of the clients Compliance Monitoring Programmes and managing the findings and action points arising therefrom through to resolution Managing client correspondence with the regulator, including in respect of consent and notification matters Preparing/reviewing/presenting compliance reports for clients Providing support and guidance to clients/client boards on applicable regulatory and AML matters Providing general day-to-day management of client compliance matters, workloads, and deadlines Skills required: You may have previous experience in a senior compliance role, a diploma level professional Compliance Qualification and be seeking the next step in your compliance caree r A strong background and understanding of financial services Strong administrative, analytical, and organisational skills Good interpersonal, written, and verbal communication skills The ability to take ownership of matters and work independently, where required An inquisitive mindset and the ability to think through issues and draw out implications and recommendations

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