Associate Director - Investment Compliance Monitoring, Kent

A leading Asset Management firm is currently looking to recruit an Associate Director to manage their UK and European Investment Compliance monitoring team.

The purpose of the role is leading the new UK/ European Investment Compliance monitoring team. This new team will be responsible for Retail and Institutional products investment compliance monitoring as part of the European Investment Compliance function. The Associate Director will oversee the management of the team in the UK on a daily basis. Please note that this role will be based in Kent.

Key accountabilities

Initial Period

• Assist the Global Investment Compliance project team with the successful transition of the monitoring function of UK/European products from overseas to the UK.

Ongoing

• Integrate new team with existing investment compliance teams.
• Work with senior management to develop a compliance team structure that best supports the UK and European base Investment Management function,
• Provide leadership to ensure that the team performs against specified goals and objectives.
• Oversee team in the performance of their functions:
• Analyze and comment on investment guidelines for European institutional client accounts and retail funds.
• Develop and maintain procedures with an emphasis on risk points and related controls.
• Identify, track, resolve and report compliance breaches in line with internal policy and regulatory requirements
• Assist in delivering global Fund Manager education for investment compliance.

Required skills and experience

• Degree-level educated. CFA / ACA / ACCA preferred.
• Solid experience in an investment compliance role, with proven ability operating at a senior level.
• In depth knowledge of FSA/CSSF regulations as they relate to the Investment powers and limits of UCITs and UCI’s
• Excellent understanding of financial instruments including equities, fixed income and derivatives