Compliance Advisory Manager

£70,000 | London | Permanent
Posted 8 days ago

InterQuest are currently supporting one of our Life Insurance and AssetManagement clients with their search for a Compliance Advisory Manager.

The role will be to support the Head of Advisory Compliance - Asset Management & Trading in providing compliance coverage to the business on overseeing and managing compliance issues relating to asset management and trading.

You will be expected to maintain a thorough knowledge of all legislative, technical (product) and regulatory changes relating to asset management and trading and take steps to ensure that systems and controls are put in place to ensure our compliance with those requirements. You will also be expected to provide ad-hoc compliance advice, support and guidance to the business on asset management and trading issues.

Working closely with other relevant Compliance teams, you will be expected to ensure appropriate controls are in place to mitigate the risk of Financial Crime, and work with Portfolio Managers to ensure all relevant alerts and reports are properly investigated. Registers should be maintained and analysis of relevant regulatory Breaches and complaints deal with appropriately.

If you meet the above criteria, please get in touch with Richard Miller to dicuss further.

For more information about this role, please contact:

Richard Miller
0161 237 0045

See Richard Miller's jobs
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