Our client is a highly regarded Asset Management company, with several £Billions of Assets under management. An exciting opportunity has arisen for a Senior Compliance Manager to work in regulatory compliance as a member of the Legal & Compliance function. Working alongside the Head of Compliance, the successful candidate will provide regulatory compliance support to the UK and Indirect Strategies teams based in various jurisdictions.

The role will focus on providing compliance advisory services, anti-money laundering KYC reviews and approvals, marketing approvals, drafting compliance policies and procedures, involvement in business projects, including the launch of new funds, compliance training and analysing the impact of new regulations on the UK & Indirect Strategies teams.

Key responsibilities include, but not limited to:

  • Effectively supports the business and responsible local management in managing compliance related issues and incidents.
  • Responsible for the compliance review on new products, marketing material, investor documentation.
  • Participates in projects concerning the implementation of new legislation, the set-up of new products, etc.
  • Assists the Head of UK Compliance with managing and co-ordinating the relationships with regulators, Legal and Internal Audit and Risk Management.
  • Interprets, implements, and develops compliance policies, procedures, and processes for a department and/or country.
  • Oversees the ongoing implementation of adherence to the Senior Managers & Certification Regime;
  • Acts as Deputy MLRO and oversees the daily implementation of our financial crime framework, including AML approvals.
  • Responsible for monitoring of regulatory requirements and reporting to responsible business management.
  • Generally provides compliance advisory support on compliance policies and procedures, including the Investment Management Policies & Procedures & other Compliance manuals.


Candidate Profile

The successful candidate will have the following:

  • Degree in Law, Economics or related field and with a minimum of 6 years’ experience as compliance officer in the financial industry, within a regulator, law firm, fund industry or related area.
  • Ideally, also have regulatory compliance qualifications.
  • Preferably Real Estate regulatory background
  • Comfortable around senior management.
  • SMCR Registrations / Public Directory
  • AML experience
  • Financial Promotions
  • General Compliance Advisory
  • Small Team, will need to be able to deputise for Head of Compliance
  • Highly motivated and enthusiastic.
  • Competent in conflict management.
  • Competent in decision quality and problem solving.
  • Competent in planning and understanding others.


If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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