Operations Compliance Manager – Asset Management

London, South East England

A well known Asset Manager are looking for an Operations Compliance Manager to join their team in London.

This is an exciting opportunity to contribute to a growing team by providing advice and guidance to the Operations team around their reporting obligations, data management, outsourcing, fair value pricing and such issues as may arise with unit dealing from time to time. it is essential you have Operations experience within a Compliance role to apply for this role.

Key duties:

  • Providing guidance and support to Operations on key technical areas of regulatory change and industry best practice particularly with regards to our trade reporting obligations (EMIR, MIFID, SFTR etc.)
  • Supporting regulatory horizon scanning
  • Preparing and contributing to papers for any relevant Board, Committee and Working Group meetings in respect of compliance matters
  • Engaging with the Compliance monitoring team to review scope of reviews, support field work and review findings and proposed actions
  • Supporting the delivery of any close and continuous monitoring of key areas of compliance e.g. conflicts, best execution, market abuse etc.
  • Having an understanding of the rules relating to the Front Office to provide additional support when required

Experience needed:

  • Significant prior experience of investments activities in an Asset Management business within a Compliance Advisory or Monitoring role
  • Knowledge of trade, transaction, EMIR and SFTR reporting regimes
  • Some knowledge of UCITS and AIFMD would be helpful
  • Understanding of compliance and regulatory requirements

Please note the required experience and salary stated. If you fit the criteria, please apply through the link or send your CV to .