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    Compliance Manager- Asset Management - London, United Kingdom - Morgan McKinley

    Default job background
    Accounting / Finance
    Description

    Key Responsibilities:

    Our client are a prestigious assset manager who are looking to hire a Compliance Manager to join their existing team

    The firms Compliance Manager (CM) will support the Head of Risk and

    Compliance with business compliance advisory, conflicts management,

    Running the firm's 2LODtesting & monitoring programme.

    The CM will also support the MLRO with managing all elements of

    the firm's anti-financial crime programme.

    Working in a small team the CM will be expected to execute

    and develop day-to-day monitoring and surveillance, as well as to contribute to the formulation of the

    firm's compliance strategy and policy development.

    Specific Functional Duties:

    Assist the Head of Risk and Compliance with advising the business on all regulatory and conduct

    matters;

    Develop and maintain key business relationships across the global business;

    Support SLA work as necessary;

    Carry out the compliance review of marketing materials and ensure compliance with applicable

    financial promotion rules;

    Manage the day-to-day activities of the AML and ABC programme compliance (including

    international sanctions regime compliance);

    Monitor compliance with the firm's policies around conflict management and client interests;

    Assist with other regular and ad hoc compliance monitoring reviews; and,

    Ad hoc projects as required.



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