Senior Compliance Manager

Eames Consulting are currently supporting a well established Investment Manager looking to appoint a Senior Compliance Manager in a generalist role.

Responsibilities:

Advisory

• Provide expert compliance advice and technical guidance across wealth and portfolio management business areas
• Interpret and apply relevant FCA and SEC regulations to business activities

Monitoring & Oversight

• Lead compliance monitoring reviews and thematic assessments
• Identify control gaps and recommend enhancements to strengthen the control framework

Policy & Governance

• Maintain and update compliance policies and procedures in line with regulatory developments
• Support regulatory reporting and submissions
• Attend and contribute to governance committees as a Compliance representative

Stakeholder Engagement

• Build strong relationships with senior management, regulators, and internal stakeholders
• Deliver training on key compliance topics, including SEC requirements

Risk Management

• Assess regulatory risks and implement appropriate mitigating actions
• Support root cause analysis of incidents, breaches, and complaints

Requirements:

• An experienced Compliance professional with a strong background in wealth, asset, or investment management, including exposure to retail clients
• In-depth knowledge of both FCA and SEC regulatory frameworks
• Solid understanding of key areas of the FCA Handbook relevant to retail clients
• Proven experience partnering with front office teams, providing guidance on queries and challenges faced by wealth managers, fund managers, and portfolio managers
• Good working knowledge of SEC rules and regulatory requirements
• Awareness of regulatory considerations relating to international clients is advantageous

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