Compliance and Fund Operations Manager
Meet Our Recruiter
About the Role
We’re working with a specialist institutional investment management company to appoint a Compliance and Fund Operations Manager in London. Combining compliance oversight with hands-on support for listed securities operations, this varied role offers broad exposure across market abuse controls, trade settlement, reconciliations and NAV oversight.
You’ll have at least three years’ compliance experience in FCA-regulated financial services, ideally within an asset manager, AIFM or investment trust manager. You’ll bring working knowledge of full-scope AIFM rules, UK MAR and financial crime requirements, as well as practical exposure to listed securities operations or controls. A recognised compliance qualification and the ability to meet FCA fitness and propriety standards for SMF16 are required.
The responsibilities will include:
- Owning the compliance monitoring programme across AIFMD, MIFIDPRU, UK MAR, SYSC, COBS, FUND and SMCR.
- Leading FCA engagement, regulatory returns and notifications, including AIFMD Annex IV reporting, and supporting the ICARA process.
- Maintaining compliance policies, procedures and registers; conducting SMCR fitness and propriety assessments; delivering training; and reporting to the board.
- Reviewing financial promotions, supporting Consumer Duty work, and working with the SMF17 on AML and sanctions matters.
- Running trade and order surveillance, handling suspicious transaction and order reporting, and overseeing wall-crossings, insider and restricted lists, disclosure thresholds, personal account dealing, conflicts and best execution.
- Supporting the trade lifecycle from pre-trade investment restriction checks through settlement; overseeing cash and position reconciliations and resolving breaks.
- Reviewing daily NAV and supporting month-end valuations, including unlisted holdings; processing corporate actions and new issues; and supporting oversight of service providers.
If you’re looking for variety, close involvement with listed and private investments, and the opportunity to broaden your experience, apply today to register your interest.