COMPLIANCE MANAGER

Recruiter
Core-Asset Consulting
Location
Aberdeenshire
Salary
Competitive
Posted
10 Aug 2017
Closes
15 Aug 2017
Sectors
Legal
Contract Type
Permanent
Hours
Full Time

Job description:

Core- Asset Consulting's client, an international asset management firm, is looking for a Compliance Manager to join their team in Aberdeen for a fixed term contract of 6 months.

Please note - as this is a fixed term contract this opportunity is a salaried position.

Core requirements:

  • Compliance, Accounting or Legal background is essential
  • Management experience
  • Advanced Excel Skills
  • Regulatory exams including IOC / IMC
  • Knowledge of the DTR rules in the UK would be advantageous
  • Detailed financial services knowledge and in particular of different types of financial instruments
  • Knowledge of asset classes is desirable

Core responsibilities:

  • Responsible for the oversight and leadership of the UK compliance department with the objective of managing regulatory risks.
  • Provide global oversight of the major shareholding process to ensure that the company makes all necessary disclosures and obtains all necessary approvals from regulators or government authorities for the investments that are made on behalf of clients.
  • Liaise with global compliance teams to ensure that common standards are being applied to monitoring and making disclosures and that the needs of the different jurisdictions are understood.
  • Work in partnership with the global compliance team and business system teams to improve processes and procedures in order to mitigate regulatory risk.
  • Ensure compliance with the major shareholding requirements in EMEA regions and oversight of team including calculating and tracking positions, regularly reviewing and updating threshold limits from legal/regulatory sources, proactively escalating impending threshold limits and seeking and interpreting legal advice where necessary.
  • Prepare reports for management giving independent and objective assurance on adherence to global major shareholding disclosure thresholds and on the effectiveness of actual or proposed controls in place.
  • Participate in the global compliance team's assessment of changes to the major shareholding regulatory regime, ensuring that the impact of the change is understood by the business and that a plan is formulated in respect of any necessary changes to processes, procedures and controls.
  • Be aware of and provide advice to the business when dealing in new products or instruments which may impact reporting.
  • Ensure global policies are documented for ensuring effective and common standards for overseeing major shareholdings.
  • Ensure that agreed targets/priorities are being met and that adequate resources are in place in order to progress projects, issues, etc. in line with agreed timescales.
  • Lead, motivate, and develop compliance staff by appropriate delegation, training and appraisals to ensure they fulfil their professional potential and provide skilled and high quality regulatory advice to the business.

Job reference: 9812


To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.


Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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