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Compliance Manager

Job Description:


Our client, a leading global Asset Management firm is looking for a Compliance Manager to join their team in Edinburgh.


In this excellent permanent role, you will be instrumental in supporting UK Head of Compliance to ensure effective management of regulatory risk.

You will also play a key role in overseeing regulatory filings, SMCR Regime, and policy logs.


The ideal candidate should have a proven regulatory compliance experience within asset management sector as well as excellent communication and organisational skills.


Essential Skills/Experience:



  • Educated beyond degree level, ideally with professional qualification

  • Regulatory risk management and controls experience

  • Knowledge of the UK & US financial services regulatory environment

  • Extensive asset management knowledge, qualifications and proven experience

  • Effective written and verbal communication skills

  • Excellent analytical skill and an eye for detail

  • Strong planning and organisation skills

  • Relationship building skills


Core Responsibilities:



  • Providing support to the UK Head of Compliance, including deputizing for them in key meetings with stakeholders

  • Engage and support Global Compliance program and initiatives

  • Ensure conduct related regulatory change is being addressed by the first line of defense

  • Proactively seek out better ways of performing conduct-related matters

  • Engage with senior management to support and challenge them regarding their management of regulatory risk

  • Respond to market monitoring queries

  • Coordinate responses to other Regulator enquiries, including thematic visits, risk assessments, information requests etc

  • Draft and submit all approved persons filings

  • Ownership of policy log, Compliance Training Plan, and conflicts of interest log

  • Oversight of regulatory filings and SMCR Regime

  • Completion of complaints return


Benefits:



  • A highly competitive salary

  • Wider Benefits package



Job reference: 13107


To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.


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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.


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