• 12 November 2008
• Reference: JR204798

• Compliance Manager x 2 - COLLECTIVES

• City of London £47,500 - £50,000 p/a Permanent

Our client is a market-leading Fund Manager

Key Responsibilities
- Monitoring Undertake monitoring of the group's operations with specific responsibility for the Collectives business in accordance with the COLL monitoring programme. Liaison to ensure compliance with applicable regulatory rules and the firm's procedures.
- Provide ad hoc advice for the Collectives side of the business.
- Provision of ad hoc advice.
- Breaches and Incidents and Dealing Errors
- Investigating and reporting on various errors and breaches.
- Prospectus approvalReviewing fund prospectuses to ensure these comply with rules and requirements.
- External Fund Managers
- Arrange, conduct and report on visits to external fund managers . Arrange, conduct and report on visits to providers of services
- General Compliance Matters
- Assisting the rest of the department in general compliance matters and monitoring reporting to the Compliance Director.


Job Related Knowledge, Skills and Experience

The successful candidate will have good experience of financial markets, with particular reference to the FSA COLL Sourcebook. They will possess good personal skills, a determined and proactive approach to Compliance as a whole and be prepared to work as part of a closely-knit team covering Investment and Banking as well as Collectives. They should also be familiar with the use of Derivatives in Funds.

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Keywords related to this job

• Compliance,
• Compliance Officers / Analysis,
• City of London,
• Permanent,
• Asset/ Investment Management,
• London