Compliance Manager

Job Description

Coopman Search and Selection are delighted to partner with a leading Investment Manager as they look to bring in a Compliance Manager to their Capital Markets division. The firm has seen significant growth in recent times, both organically and through acquisitions, with this role overseeing the compliance framework of a key business unit.

Key Responsibilities :

• Lead on the development and maintenance of the Compliance Monitoring Programme for the Capital Markets division, covering both FCA and SEC regulatory requirements
• Oversight of one Compliance Analyst, assisting them with their day to day tasks; including trade execution and liquidity monitoring
• Liaise with Fund Managers and Administrators, as well as Custodians and other relevant counterparties on compliance matters.
• Production of risk and compliance reports for the funds managed by this area of the business, including reports on how risks should be mitigated and escalated
• Review and sign off on relevant financial promotions
• Work with external US regulatory consultants and occasionally oversee US regulatory reporting
• Ongoing design, implementation and periodic reviews of policies and procedures
• Contribute to and support the firm's wider compliance team with regulatory change initiatives and business wide training

Key Experie...