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Senior Manager
| Type |
Permanent |
|
From £65,000 to £70,000 per annum |
| Location |
London City, London [South-East England], London [South-East England] |
| Agency: |
Finance Professionals |
| Contact |
Ruth Mulhern |
| Start: |
ASAP |
| Reference |
GW JO068009 |
Job description
Responsibilities: to design and implement an effective oversight programme for the investment management delegates; this programme would be a mix of onsite reviews, ad hoc desk-based reviews, quarterly due diligence reviews, and regular communication (meetings and phone calls); to take ownership of the reports and outcomes from the above reviews, and escalate any issues or ongoing concerns to senior management and Investment Management & Oversight Committee (IMOC) as appropriate; to provide ongoing advice to the asset management delegates on a range of regulatory requirements in relation to the delegated funds/segregated mandates; working closely with the legal department, to provide compliance advice and input on investment management agreements; to take ownership of, and be responsible for regular updates to the compliance manual; to take lead on, and provide assistance and expertise on ongoing projects (primarily relevant to investment management) and disseminating updates to the team and AMI as relevant; to take the lead on the coordination of conflict of interest initiatives and ongoing management; to attend any ongoing and ad hoc operational or project groups within the business areas to provide compliance advice, as required; to ensure that reports and associated test and work papers are all updated to the Global Compliance Monitoring System (GCMS) in a timely manner; all compliance monitoring reviews are to be conducted progressively during the course of the year and the review plan duly completed by the year end; to effectively supervise the Investment Management Compliance Assistant with appropriate training and development objectives in place, and ensure that appraisals, objectives, etc of the Compliance Assistant are completed in line with corporate timetable requirements; to support the technical development and success of the Investment Management Compliance Assistant.
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This position is being advertised by an employment business in the case of temporary positions and an employment agency in the case of permanent positions.