Compliance Manager

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Our client is seeking a talented and experienced Compliance Manager to join the team. The Compliance Manager will be responsible for ensuring that the company complies with all relevant regulations and laws. The successful candidate will have experience in developing, implementing, and maintaining compliance policies and procedures.

In return our client offers a competitive package and a supportive working environment where professional and personal development of all employees is encouraged. 


  • Contribute to the establishment and operation of the company’s compliance programme
  • Ensure the company maintains its robust compliance control framework
  • Support and work within the wider Legal & Compliance team of the company, based in the UK and other jurisdictions
  • Conduct trade compliance monitoring across all asset classes traded and implementing system improvements
  • Maintaining the various regulatory registers
  • Maintain and improve where required, the Compliance Monitoring Programme, Business Risk Assessment and provide relevant information to the Board
  • Oversight of AML related matters such as sanction screening process and reporting
  • Review customer due diligence
  • Ensuring staff are and remain aware of internal policies and procedures and their obligations
  • Manage the assessment and acceptance of new business
  • Maintain a thorough awareness of industry best practice and developments in relation to applicable regulatory laws/guidance, (both locally and internationally)
  • Manage at least one UK based Junior Compliance Manager


  • At least five years’ experience in a compliance role, in order to understand the complexities and breadth of the role
  • Experience within an asset management environment and previous trade compliance experience is strongly preferred
  • Exposure to other regulatory markets
  • Proficient in MS Office software


  • Excellent communication skills and the ability to interact with all staff at all levels
  • Strong organisational skills and the ability to manage a range of competing priorities and projects to tight deadlines
  • An analytical and methodical mind
  • Broad and pragmatic thinker
130 days ago
Job Title
Compliance Manager
Job Category
Compliance and Risk
Job Location
Job Salary
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