Investment Compliance Manager

£45000 - £50000

FourthLine are currently resourcing for a well-established Regulatory Consultancy based in the City.

This is a wide- ranging position with a firm that offers fantastic development and progression for Consultants who want to further their career within Compliance.

Role: Investment Compliance Manager

Location: Central London

Salary: 45k – 50k

Main responsibilities include:

  • Providing technical compliance advice on regulatory issues and industry change
  • Assisting with the internal policies and procedures to ensure their compliance with requirements
  • Reviewing existing policies and procedures to assess degree of compliance either as a standalone activity or within an overall due diligence matter
  • Supporting client programmes across the breadth of FCA requirements from authorisation. Undertaking Training and Competence visits to clients Conducting client file reviews Running marketing and distribution requirements, general handbook advisory and assurance through to remediation
  • Maintaining an up to date knowledge and understanding of regulatory policies, including, Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence.

For a confidential conversation around this position please contact Colum Conway on 020 3 800 1543 or respond to this email with an up to date copy of your CV.

Managing this Role



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