Compliance Manager

Role: Compliance Manager

Location: London

Company Overview

Lawson Conner UK is an award winning investment manager platform and compliance service provider. The firm has recently been voted “B2B Business of the Year” by an expert panel of senior business judges during the Amazon Growing Business Awards 2017 competition.

Lawson Conner’s clients are of institutional nature and range from specialised hedge fund managers to large asset management firms with well-established track records who utilise a broad array of investment strategies.

The application and role summary

Based in the London office, the Compliance Manager will contribute to the team’s interaction with compliance clients and oversee the work of 2-3 Compliance Associates. The Compliance Manager will conduct periodical compliance reviews, manage a compliance monitoring program and ensure regulatory oversight of the assigned clients on a day to day basis.

Responsibilities

  • Manage the ongoing compliance monitoring plan for a portfolio of clients (hedge funds, investment managers, corporate finance advisors, wealth managers, crowdfunders)
  • Oversee a small team of Compliance Associates in their daily tasks
  • Conduct periodic calls with clients of the firm to discuss compliance tasks and monitor their conduct and compliance documentation
  • Perform a variety of special compliance projects and thematic reviews and sign-offs
  • Collate compliance requests and articulate issues to the compliance committee for discussion
  • Complete various client facing tasks, office visits and file reviews

Requirements

  • Significant experience in working in an FCA compliance environment with a good understanding of the financial services industry
  • Team leader skills to lead a small team of 2-3
  • Attention to detail: must be able to perform all work consistently to a high level of quality
  • Time Management: must be able to manage own time on multiple ongoing projects effectively and oversee a small team
  • Ability to interact effectively with clients and influence clients
  • Desire to work in an dynamic, fast-moving and fast-growing company environment interacting with blue-chip clients

Qualifications and Experience

  • Bachelors degree (Law or Business preferred) or similar
  • Strong communication skills, written and verbal

Additional Compliance training provided by Lawson Conner

On offer

This is an exciting opportunity to join a fast growing organisation with a highly motivated and client focused team that has been recently awarded B2B Business of the Year at the Amazon Growing Business Awards 2017.

The successful candidate will be offered a competitive salary, benefits package and a bonus.

The successful candidate will be offered a competitive salary, benefits package and a bonus.

The company operates an HMRC approved employee share option scheme with significant benefits for qualifying members of staff.

Download: PDF version

To apply: email careers@lawsonconner.com