Compliance Manager

Job Description

Salary: on application

JOB TITLE: Compliance Manager
LOCATION: London
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.

HOW TO APPLY:
If you would like further information or would be interested to apply for this vacancy please contact Pasquale Agatiello at eNL on 020 7183 8586 or email pasquale.agatiello@enllegal.co.uk or contact us via LinkedIn https://www.linkedin.com/company/237102

eNL is handling a number of in-house vacancies throughout the London and South East region. Call now for a confidential discussion. As part of our candidate care process we aim to respond to all applications within 7 working days. If you have not been contacted within this timescale your application has been unsuccessful on this occasion. Please go to https://www.enllegal.co.uk/register-with-us/ to register your interest for similar positions. 

In addition, if you know anybody that may be interested, remember we do offer up to £500 referral fee bonus (Terms and Conditions apply).

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