Compliance Manager - Asset Management, Surrey UK

Type: Permanent
Location: Surrey

Ocean has been engaged by a Surrey based boutique Retail and Institutional Asset Manager who are seeking to hire a Generalist Compliance and CASS Manager who will provide both Compliance and CASS support to all of the firm's business lines. This is an excellent opportunity for a candidate to take on the CF10a, work with an impressive Chief Compliance Officer and broaden their Compliance experience without having to commute into the City.
Our client values diversity in the workplace and welcomes applications from everyone. If you have a disability and need help with the application process, please tell us.    
Key remits:  
  • Leading on regulatory projects and manage a variety regulatory issues
  • Assuming full responsibility for client money oversight ensuring the firm is compliant with CASS rules
  • Reviewing and approving Financial Promotions and marketing material
  • Design and implement the firms Compliance Monitoring plan
  • Providing ad hoc Compliance advice
  • Keeping up to date with regulatory rules and changes
  • Ad hoc Compliance assistance on a variety of projects/matters
  • Solid Compliance and CASS experience gained within the Asset Management sector
  • Excellent knowledge of CASS rules
  • Excellent knowledge of FCA and EU regulations governing the Asset Management space
  • Excellent Stakeholder management skills
  • Excellent written and verbal communication skills
Ocean is a recruitment and inclusion consultancy dedicated to the investments industry. Our mission is to lead the recruitment of diverse talent and champion the adoption of more inclusive working cultures to help the industry innovate. 


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