Senior Compliance Manager

Compliance Specialist (3-6 Month Contract)

Investment Management – Integration Project

Overvie

wWe are seeking an experienced Compliance Specialist to support an investment management business on a 3-month contract as part of a broader post-acquisition integration programme

.They are looking for someone to come in and support the two senior compliance leaders within the business to do a gap analysis on their policies and procedures and then take action by rewriting/developing the policies and procedures either through consolidation or separation, depending on the needs of the integration

London-based, ideally 3 days a week in the office, looking at circa 600-650 per day

Key Responsibilities

• Conduct a comprehensive gap analysis of existing compliance frameworks across both legacy entities
• Review and compare policies, procedures, and controls against: Applicable regulatory requirements, Internal standards and best practice
• Identifying any missing or outdated policies and any key compliance risks arising from the integration
• Policy & Procedure Review: Assess the quality, completeness, and applicability of all core compliance documentation, including: Compliance manuals, Financial crime / AML frameworks ect..
• Support the design of a target operating model for compliance
• Assist in integrating systems, controls, and governance structures
• Ensure alignment with regulatory expectations during the transition period
• Produce a formal gap analysis report, including: Key findings and risk ratings, Recommended remediation actions and a prioritised implementation roadmap
• Support delivery of agreed remediation actions where required

Key Requirements

• Proven compliance/regulatory experience in buy-side compliance (asset management/investment management)
• Strong experience in the following: Policies & procedures review and drafting
• Conducting gap analyses in regulated environments
• Solid understanding of relevant regulatory frameworks (e.g. FCA rules, AIFMD, MiFID II, SMCR)
• Ability to operate independently in a fast-moving, project-based environment
• Ability to synthesise complex regulatory requirements into practical outputs