Compliance Manager - Investment Management

Recruiter
Robert Half International
Location
London, United Kingdom
Salary
GBP70000 - GBP85000 per annum + Bonus + Benefits
Posted
06 Sep 2022
Closes
23 Sep 2022
Ref
16736711
Job Function
Other
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Compliance Manager - Investment Manager (Real Estate)

London - Hybrid

£70,000 - £85,000

Role Objectives
  • The role of the Compliance Manager is to help the company and employees achieve internal and external compliance of GTIL. Compliance manager will be involved in the investment process, interact closely with transaction, legal, tax team etc, and manage extensive relationships with external counterparties.

Key Accountabilities:
  1. Investment Process Control.
  • Ensure all critical aspects throughout the whole investment process, e.g. investment decision making, external advisor engagement etc, compliant with regulatory and internal requirements.
  • Identify and manage compliance risk in investment related activities.
  • Assess internal investment-related policies in terms of effectiveness and integrity
  1. AML/KYC and other Regulatory Compliance
  • Manage the whole AML/KYC process during acquisition and post investment with various counterparties, and make relevant record.
  • Closely monitor development in AML/KYC, sanctions and provide advice to management.
  • Responsible for FACTA / CRS and other regulatory reporting.
  1. Other Business and Employee Compliance Risk Monitoring
  • To develop and implement a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks against regulatory content, compliance standards and inspection methods, based on GTIL's business risk characteristics, local laws/regulations and industry practice.
  • Responsible for day to day monitoring and reporting of compliance risks
  • Ensure that compliance procedures, systems and controls are up-to-date and effective
  • Primary responsibility for maintaining and monitoring compliance with key compliance policies, this includes maintain relevant restricted authorization of the main business, disclosure of information on conflict of interest, gifts, hospitality and personal investment.
  • Improve existing compliance policies or esabilish new policies.
  1. Research and Advisory
  • Closely monitor the development of regulations, identify the influence on company's business and maintain an updated understanding of relevant regulatory requirements.
  • Responsible for day to day management of employee training, including providing regular training to employees on compliance matters, including internal policies and procedures, the application of standards and guidelines, and relevant laws and regulatory requirements, promoting and enhancing a strong compliance culture
  1. Reporting
  • Prepare routine compliance reports, event-driven reports, etc.
  • Prepare ad-hoc reports on compliance developments


Experience/Skills
  • 4+ years working experience in compliance functions of financial institutions.
  • Previous experience with private market KYC/AML practice.
  • Detailed knowledge of financial investment regulations, as impacting GTIL's business, e.g. AML, sanctions, insider dealing, market abuse, conduct of business and conflicts of interest
  • Knowledge and experience of best practice compliance and governance frameworks, methodologies and emerging practice, compliance monitoring and risk assessments in the context of the UK financial investment industry
  • Highly developed communication and influencing skills with ability to build relationships across the organization at all levels
  • Be capable of interpreting complex information and presenting opinions in a rational way
  • Thorough and accurate, capable of identifying the key issues with logical and systematic thinking
  • Processes driven ability to establish and follow new processes
  • Accountable for own decisions and actions whilst respectful of the professional responsibilities of others
  • Strong communication skills in English, and Chinese fluency both in verbal and written preferred

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: roberthalf.co.uk/legal-information/privacy-notice.

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