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Senior Investment Compliance Manager

Salary Competitive
Type Permanent
Location City of London
Sector Compliance
Job Reference T3A/HGW/27102
Contact Harry Warwick
Date posted 02-10-2017

BRUIN Financial is currently working with a leading asset management firm who are currently looking for a Senior Investment Compliance Manager to join their Compliance team. The successful candidate will role will be initially responsible for a front office implementation project for a period of 12 months advising. Following this period, the role will consist of providing ongoing advice to the business and day to day BAU work within the Investment Compliance team.

As a Senior Investment Compliance Manager your responsibilities will include:
• Lead Investment Compliance representative for a front office implementation project
• Oversight of breach and error recording/reporting and assisting with continuous manager risk assessment
• Provide advisory support generally to the Multi-Asset business, including guidance on UCITS eligibility, limits, and concentration rules and application of compliance policies
• Work with the business and Investment Compliance colleagues globally to resolve any identified breaches and escalate any issues as appropriate; ensure excemptions are dealt with appropriately

The successful incumbent requires:
• Experience of governance / oversight responsibilities in the asset management industry
• Notable experience of working in the investment management industry (preferably buy-side) and of investment products
• Good knowledge of UK, Luxembourg and Irish regulations relating to investment restrictions (e.g. UCITS and AIFMD) is needed; some knowledge of the U.S. Investment Companies Act of 1940 is a plus
• Good IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg would be an advantage

For more information please contact Harry Warwick on 02031453362 or

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Contact Harry about this job

Director, Compliance & Finance