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Client Compliance (Funds) - Manager

Purpose of the role:

To work closely with the Head of Client Compliance in delivering a robust compliance framework for a portfolio of regulated client entities.

Responsibilities:

  • Contributing to the preparation and maintenance of the client boards’ business risk assessments
  • Undertaking both planning and execution of the clients’ Compliance Monitoring Programmes and managing the findings and action points arising therefrom through to resolution
  • Managing client correspondence with the regulator, including in respect of consent and notification matters 
  • Preparing/reviewing/presenting compliance reports for clients
  • Providing support and guidance to clients/client boards on applicable regulatory and AML matters
  • Providing general day-to-day management of client compliance matters, workloads, and deadlines

Skills required:

  • You may have previous experience in a senior compliance role, a diploma level professional Compliance Qualification and be seeking the next step in your compliance career
  • A strong background and understanding of financial services
  • Strong administrative, analytical, and organisational skills
  • Good interpersonal, written, and verbal communication skills
  • The ability to take ownership of matters and work independently, where required
  • An inquisitive mindset and the ability to think through issues and draw out implications and recommendations
 

Risk & Compliance

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