Senior Compliance Manager Ucits non-Ucits Sales & Distribution CIS FSA

SENIOR COMPLIANCE MANAGER UCITS NON-UCITS SALES & DISTRIBUTION CIS FSA COLL COBS.

A major global financial services organisation is seeking a Senior Compliance Manager to work on a contract basis in their City of London office

Key responsibilities:

Execution of certain components of a risk-based compliance monitoring programme, primarily in respect of business functions located in London and other EMEA offices.

Project implementation support in the execution of business and compliance projects, in particular in respect of the review and enhancement of procedures and controls relating to production and approval of sales and marketing collateral.

Key skills required:

Strong compliance background and will have a sound knowledge of the FCA Conduct of Business rules and other relevant areas of the FCA Handbook.

Prior experience in managing (or a senior role within) a monitoring function and/or involvement in significant project-work.

Experience in financial promotions and retail funds compliance, ideally both UCITS and non-UCITS CIS

Good knowledge of the FSA COLL and COBS Sourcebook (the financial promotion rules in particular where the COBS is concerned)

Sound knowledge of Word and Excel

Please note your CV will not be submitted for this or any other role without your prior approval. 

SQ Computer Personnel Limited acts as both an Employment Agency and Employment Business.

SENIOR COMPLIANCE MANAGER UCITS NON-UCITS SALES & DISTRIBUTION CIS FSA COLL COBS.