Boutique asset manager based in the West End seeks the talents of an experienced Compliance professional for a newly created role as the firms first dedicated Compliance Manager. The company have been around for 10 years and operate in a niche and highly lucrative part of the market with around 20 employees in total. The Compliance Manager will work closely with the General Counsel and CEO and will have complete responsibility for all compliance and regulatory issues, ensuring an environment in which the needs of the customer are at the centre of the business and that operational risk is understood and mitigated.

This role requires significant compliance experience from within the asset management or insurance industry with a preference for someone from a generalist background. The role will require the individual to embrace an open and supportive culture and to find innovative ways to implement controls and establish a reporting environment in a semi start up atmosphere.

Responsibilities:

• Design, implement and execute a full compliance and operational risk framework across two regulated entities (insurer and asset manager)
• Draft and maintain policies and procedures to ensure the company is operating within FCA guidelines and industry best practice
• Advise and approve financial promotions/marketing materials issued to clients
• Undertake training across the business to ensure employees are aware of Conduct Risk and other Compliance Regulations that may impact them
• Maintain and organise an effective reporting system to provide Management Information to Senior Stakeholders
• Keep abreast of changes in regulation in all relevant jurisdictions
• Complete Regulatory Compliance Monitoring and Testing to ensure the business adhere to controls processes

Your background:

• At least 5 to 6 years experience or equivalent in a similar Compliance role with a preference for someone who has worked in or partnered with SMEs. You'll need to have gained exposure to the asset management and/or insurance sector and ideally be degree educated with additional professional qualifications a bonus.
• Experience in setting up and drafting Compliance policies and procedures
• An outgoing and positive mind-set
• Self-motivated with the drive and energy to achieve success
• Excellent intellect and communication skills, both verbal and written
• A high level of personal integrity and confidentiality
• A sense of humour combined with resilience, patience and robustness - able to take the rough with the smooth

The role is offering £70-80,000 base plus benefits and a healthy discretionary bonus and is looking to make an appointment prior to the Christmas break. For immediate consideration please apply online or for more information or a confidential discussion, please contact Glen Roberts at Marks Sattin on 02077479765 or email glen.roberts@markssattin.com