Compliance Policy Manager

Browse Jobs › Compliance › Compliance Managers › Compliance Policy Manager

This job is not currently available

2 October 2008
Reference: JR202752
Compliance Policy Manager
South East England Excellent Permanent
Benefits: excellent

My client is an established provider of asset management, serving the investment needs of individuals, institutions and advisers, providing mutual funds, defined contribution pensions, segregated portfolios and multi-manager products. Due to recent expansion a Associate Director is sought for their site in Surrey. Reporting to the Head of Regulatory Advice and supporting the US regulatory compliance and risk programme you will be required to;

*Assist in managing all aspects of the compliance programme.
*Assist in compliance assessment and monitoring of the compliance programme, implementing effecting regulatory risk controls
*Assist in conducting and reporting on periodic and annual compliance reviews
*Manage the process of updating, developing and maintaining compliance policies and procedures.
*Manage the process of periodic and annual updates of U.S. regulatory filings.
*Coordinate and support the preparation of quarterly sub-adviser certifications and responding to periodic client compliance due diligence requests
*Organise relevant employee training, according to the level and responsibility of the employee.
*Develop relationships and communicate on compliance matters with clients in the US.
*Manage and participate in compliance projects relating to the compliance programme.
*Play a key role in SEC regulatory examinations and investigations

Ideally you will be degree educated and have previous SEC regulation experience gained within a funds environment. Strong communication, presentation and project management skills combined with robust analytical skills would also be advantageous. Lastly, it is desirable that you are a strong team player and able to adapt to a fast paced environment.