Compliance Manager

Aberdeen
60000 - 65000 per annum

Aberdeen Appointment Agency is currently working in partnership with Aberdeen Asset Management to recruit for a Compliance Manager to manage their Compliance team on a 6 month contract.

The objective of the role is to play a key role in the oversight and leadership of the UK Compliance Department. Specifically, the Compliance function aims to provide a high degree of assurance that the Group meets its regulatory obligations in each applicable jurisdiction.

The purpose of the role is to provide global oversight of the major shareholding process to ensure that Aberdeen as a Group make all necessary disclosures and obtain all necessary approvals from regulators or government authorities for the investments that we make on behalf of clients.

Duties:

  • Liaison with Global Compliance teams.
  • To oversee and input into the implementation of the new FundApps system
  • To work in partnership with the Global Compliance Team and Business System teams to improve processes and procedures
  • To provide input and assistance into the Global Regulatory reporting project
  • To ensure compliance with the major shareholding requirements in EMEA regions and oversight of team.
  • As required, to prepare reports for management giving independent and objective assurance
  • To promote the highest standards of ethical practices across the Group in strict compliance with the letter and spirit of regulatory standards
  • To participate in the Global Compliance Team's assessment of changes to the major shareholding regulatory regime
  • Ensure Global Policies are documented for ensuring effective and common standards for overseeing major shareholdings.
  • Ensuring the feed of data being provided into the Global Major Shareholding process is complete
  • To ensure that agreed targets/priorities are being met and that adequate resources are in place in order to progress projects, issues, etc. in line with agreed timescales.
  • To assist the Global Head and UK Head of Compliance as directed.
  • As required, representing AAM at various technical forums, reporting back and disseminating information where appropriate.
  • To assist with visits by regulators, clients, trustees, auditors etc., ensuring that requests for information are dealt with in a timely manner.

Experience and Qualifications:

  • Compliance, Accounting or Legal background advantageous.
  • Advanced Excel Skills
  • Management Experience
  • Regulatory Exams including IOC / IMC

Skills/Knowledge:

  • Knowledge of the DTR Rules in the UK
  • Business systems knowledge
  • Effective Communication Skills
  • Analytical
  • Detailed Financial Services Knowledge and in particular of different types of financial instruments
  • Knowledge of Asset Classes

Application Details

Closing date:
13-Nov-2017

Eilidh Walker
01224 259430

Reference No: EW29566

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