At a Glance
- Tasks: Conduct gap analysis and develop compliance policies for an investment management integration project.
- Company: Dynamic investment management firm focused on post-acquisition integration.
- Benefits: Competitive daily rate, flexible working arrangements, and valuable industry experience.
- Other info: Fast-paced environment with opportunities for professional growth.
- Why this job: Join a crucial integration project and make a significant impact in compliance management.
- Qualifications: Proven compliance experience in asset management and strong policy drafting skills.
We 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 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
- Identify any missing or outdated policies and any key compliance risks arising from the integration.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, etc.
- 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.
- 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.
Senior Compliance Manager in City of London employer: Jameson Legal
Join a dynamic investment management firm in London as a Senior Compliance Manager, where you will play a pivotal role in shaping compliance frameworks during a critical integration phase. Our collaborative work culture fosters innovation and professional growth, offering competitive daily rates and the flexibility of working three days a week in the office. With a commitment to employee development and a focus on regulatory excellence, we provide a unique opportunity to make a meaningful impact in the financial sector.
