Compliance Manager - 6 Months Fixed Term Contract

Edinburgh

Eden Scott's client is currently recruiting for Compliance Manager to join their organisation on a 6 months fixed term basis. The successful individual will play a vital role in the oversight and leadership of the UK Compliance Department. You will provide oversight of major shareholding process and ensure necessary disclosures and obtain all necessary approvals from regulators or government authorities for the investments that we make on behalf of clients.

Responsibilities

  • Liaise with Global Compliance teams to ensure that common standards are being applied to monitoring and making disclosures and that the needs of the different jurisdictions are understood.
  • To centrally co-ordinate notifications that have global impact for example in instances of Change of Control.
  • To consider the best model for fulfilling our regulatory obligations across the globe. To put in place and chair appropriate forums to discuss and review issues relating to major shareholding globally.
  • To oversee and input into the implementation of the new FundApps system including ensuring post implementation global processes and standards are adopted.
  • Following implementation, global oversight of the system.
  • Work in partnership with the Global Compliance Team and Business System teams to improve processes and procedures in order to mitigate regulatory risk including, where possible, anticipating in advance reporting requirements and therefore not impeding business activity.
  • Provide input and assistance into the Global Regulatory reporting project which is ongoing and, as subsequently determined, oversee processes implemented as part of this project.
  • Ensure compliance with the major shareholding requirements in EMEA regions and oversight of team including calculating and tracking positions, regularly reviewing and updating threshold limits from legal/regulatory sources, proactively escalating impending threshold limits and seeking and interpreting legal advice where necessary.
  • Prepare reports for management giving independent and objective assurance on adherence to global major shareholding disclosure thresholds and on the effectiveness of actual or proposed controls in place.

Person Specification

  • 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

If you are interested in the above role please contact or call Karen on 0131 5501129

Eden Scott offers the services of an employment agency for permanent work and an employment business for temporary work.

This position may be just one of numerous opportunities we are handling that you could have an interest in pursuing. If you have not been in touch with us before, please call on 0131 550 1100 or drop off a CV at and we will make sure that most relevant Consultant gets back to you as soon as possible. Please note that we never send CVs anywhere without your prior consent.

Application Details

Closing date:
12-Feb-2018

Karen Kerr
0131 550 1100

Reference No: E290118

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