Head of Operations/ Senior Operations & Compliance Manager
The RoleHead of Equity Operations/ Compliance Manager (UCITS Fund, Boutique Asset Manager)
FJR Finance is currently representing a City based boutique Equity focused Asset Manager to hire a permanent Head of Operations and Compliance. The role will be a mix of Operations (60 %), Compliance (30 %) and Finance/ other tasks (10 %).
This is a hybrid role that requires both operations and compliance experience. Our client is looking for is someone with a strong Operations background that has done at least a couple of years of compliance work. This is a senior role and their preference is for someone who has worked at a small asset management firm that manages an Equities focused fund (UCITS experience is a plus).
They run a global Equity strategy (Fund + managed accounts) and are to hire an experienced professional in our London office to perform a hybrid compliance & operations role.
Candidate must have relevant compliance and operations experience in an asset management firm, strong knowledge of FCA regulations, investment operations and accounting, and able to learn and grow with the firm.
- Oversee Investment Operations/ Trade Support/ Fund Administration activities such as trade processing, confirmation and settlement
- Supervise and approve NAV calculations and client reporting
- Supervise and manage the middle and back-office operations
- Act as the firm’s compliance officer for all related Compliance matters
- Compliance Advisory to and monitoring of the Equity trading and Operations
- Review and approve any financial promotion and marketing materials
- Maintain and implement all compliance policies, procedures, and records
- Be in charge of the relationship with regulators
Finance/ Ad-hoc tasks
- Supervise the firm’s finance, accounting, and reporting activities
- Monitor outside service providers such as administrators, custodians, brokers, IT vendors, etc.
£80 k pa- £100 k pa, plus bonus, pension, healthcare etc.