Senior Compliance Manager

Overview

The Role & Key Responsibilities
Skills Required
What you will get in return
Additional Information

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
Tab Item Content

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
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Department – Compliance Solutions – Throgmorton
Employment Type –
Permanent

Role Objective

Throgmorton is looking for a Senior Compliance Manager to join its Compliance Solutions Team. The role will be based in London.

The successful candidate will be responsible for providing support to London-based asset management firms.

Reporting into the Co-Heads of Compliance Solutions, the successful candidate will be expected to work independently when required, and as part of the Throgmorton and wider Corporate Solutions and Apex team.

The successful candidate should have an up-to-date understanding of FCA regulations, preferably with additional working knowledge of other jurisdictions and their regulatory frameworks.

Job Specification

  • Regulatory review and advice
  • FCA authorisations and Variation of Permission applications
  • Developing and/or managing compliance monitoring programmes
  • Regular compliance reporting to senior management and/or the fund board
  • Drafting and updating of compliance policies & procedures
  • Assisting with counterparty and third-party service provider due diligence
  • Marketing arrangements and permissions
  • Anti-money laundering arrangements and controls
  • ICAAP and risk reviews
  • Regulatory reporting for both UK and US regulators
  • Liaising with fund and company lawyers
  • Provision of training to clients
  • Keep up to date with all relevant industry developments
  • Ad hoc project work.

 

  • Compliance professional with experience in the asset management industry (wider operational knowledge and experience is a bonus)
  • Registered Compliance Officer and MLRO experience
  • Knowledge and understanding of the relevant UK and international regulatory rules and requirements
  • Strong communication skills key for building both internal and external relationships
  • A pragmatic approach with the ability to think on your feet and problem solve effectively
  • A good orator and have a clear and concise style of writing
  • A keen eye for detail, together with strong administrative skills
  • A willingness to help expand the business and acquire new clients.
  • A genuinely unique opportunity to be part of an expanding global business and to grow with the business
  • Training environment which is second to none
  • Great grounding in the basics
  • Exposure to the interactions between compliance and accounts, tax, payroll and company secretariat
  • Ability to apply technical knowledge to practical scenarios

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR)) please visit our CSR policy page.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter and salary’s expectations) to our dedicated email address: [email protected]

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Life At Apex

"Working here I have the space to be creative, take ownership and develop continuously. It’s a great company with a purpose, which in turn enables its people to identify with the core values and mission."

Diane Mero, Office Manager, Dubai

What we look for

We look to recruit bright, articulate and numerate employees who are not afraid of a challenge and are prepared to work hard and love what they do. Every employee plays a part in making our business what it is today and the more we grow, the more important that becomes.

 

Whatever your career path, ambition or skillset you will be joining an entrepreneurial environment and become part of a globally connected team. We don’t just want you to succeed, we want you to flourish.

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