Senior Compliance Manager

Reference: CHNG-42401

Job Description



An exciting new opportunity for a Senior Compliance Manager to join a Global Fund Manager and manage the European team based in Edinburgh. The team will be responsible for the European Retail and Institutional products End of Day (EOD) investment monitoring as part of the company's Central Fund and Ethics Oversight department. The team will take advantage of the multi-time zone functionality of a new proprietary compliance system by performing EOD compliance testing in the UK on managed accounts.

The Senior Manager will manage a team of 2 compliance analysts.

Key Responsibilities

Initial Period
· Assist the project team in User Acceptance Testing and Implementation phases of project, and transitioning current compliance rules from the existing compliance testing engine to the new engine
· Assist the Global Investment Compliance project team to successfully transition the End of Day monitoring function of European products from Bermuda to Edinburgh

Ongoing
· Analyse and comment on investment guidelines for European institutional client accounts and retail funds
· Evaluate investment restrictions for compliance testing
· Participate in account take-on process and ensure compliance systems are updated appropriately and on-time
· Identify, track, resolve, and report compliance breaches in-line with internal policy and regulatory requirements
· Develop and nurture relationships with senior managers and internal stakeholders
· Communicate effectively with senior management and investment professionals
· Provide a high quality timely service to customers
· Assist in delivering global Fund Manager education for investment compliance
· Provide leadership to a team of 2 Compliance Analysts and ensure the team performs against specified goals and objectives
· Participate in a range of company - wide projects as advised by senior management

Working Relationships / Contacts
· Working closely with Investment Compliance departments in London, Bermuda, US and Hong Kong, Chief Investment Officers, Portfolio Managers, Portfolio Services Group and Relationship Directors and Client Service Managers

Experience and Qualifications
· Degree-level educated with further Investment Compliance qualifications: CFA / ACA / ACCA preferred.
· Good Compliance experience at a senior level within a regulated UK Financial Services business, ideally Investment Compliance with Retail products. European regulatory experience advantageous
· In depth knowledge of FSA regulations as they relate to Investment powers and limits of UCITs and UCI’s. Knowledge of CSSF regulations advantageous.
· Excellent understanding of financial instruments including equities, fixed income, bonds and derivatives
· Good experience leading a Compliance team supporting operational business teams, with excellent line management and coaching skills
· Business-level verbal and written English communication / presentation skills
· Excellent interpersonal skills; experienced communicating and consulting at all levels especially senior management both verbally and in writing
· Strong planning, organisational and time management skills
· Good attention to detail, an analytical investigative questioning nature, an innovative solution-oriented approach
· A flexible approach with the ability to adapt to varying deadlines
· Used to making decisions and acting without supervision;
· Good PC skills, particularly MS Office suite


Disclaimer
Change Recruitment Group operates as a Recruitment Agency in providing permanent or contract job-seeking services and as a Recruitment Business in providing temporary job-seeking services.