Compliance Manager

on application
10 May 2022
07 Jun 2022
Pasquale Agatiello
Job Title
In House Counsel
Practice Area
PQE Level
10+, 8-10
Contract Type
Full Time

JOB TITLE: Compliance Manager
SALARY: on application

THE ROLE: Reporting to the General Counsel & CCO the successful Compliance Manager will be responsible for day-to-day compliance matters for the group entities and the funds managed. This is a broad role requiring you to be “hands on” and interact with staff and employees at all levels of the business. The Legal & Compliance function is supported by external compliance consultants in the UK and Bermuda and by external legal advisers.

The duties of the Compliance Manager include (but are not limited to) the following:

• Manage AML/KYC processes both internally and with new (and ongoing) counterparties (including AML risk assessments).
• Review of financial promotions and marketing disclaimers; prepare and maintain marketing registrations for funds; maintain marketing matrix and database of third-party introducers.
• Complete regulatory filings (including Form ADV).
• Manage SMCR certification process and onboarding of new staff members.
• Prepare compliance and AML reports for the corporate and fund boards (including 206(4)-7 annual review) and ad hoc reports, as required.
• Develop and maintain compliance policies and procedures (including the Compliance Manual).
• Maintain internal registers (including PA dealing, breaches, G&E, complaints).
• Organise compliance training for partners and staff.
• Monitor personal account dealing and emails of US sales representative.
• Regulatory horizon scanning for changes which could affect the business (e.g. SFDR); identify general regulatory, compliance and risk issues;

Role would suit experienced buy-side compliance generalist with a desire to broaden his or her knowledge and assume more responsibility.


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