Compliance Manager
London - Full time Who We are Now has never been a better time to join Asura. We are an exciting, fast paced business with a team of technology driven team people who thrive on new challenges.
We provide investment technology, custody and trade execution services to asset managers, wealth managers, institutional and investment platform providers worldwide.
Description
Responsible for ensuring the Asura’s business operations and procedures comply with legal regulations and internal policies by performing a range of duties including evaluating all current and new compliance regulations, reviewing company processes and leading training sessions.
As the Compliance Manager, you will be responsible for:
- Compliance monitoring – develop, plan and implement company compliance framework, processes and procedures in line with industry and regulatory standards
- Identifying and reviewing key regulatory changes impacting the company, preparing business impact assessments, and working with stakeholders to implement all required changes
- Supporting business stakeholders by providing guidance and advice during projects and change programs
- Designing and monitoring control systems to deal with violations of legal rules and internal policies
- Regularly assessing the efficiency of control systems and recommending effective improvements
- Reviewing and evaluating company procedures and reports to identify hidden risks or common issues
- Developing new compliance policies and procedures when required
- Coordinating with stakeholders to review all departmental compliance policies
- Performing periodic audits on company procedures and processes
- Leading employee training sessions on legal and compliance issues
Requirements:
- Extensive experience in a Compliance or Audit related role within financial services
- In depth regulatory knowledge of CASS
- Excellent oral, written communication and organizational skills as well as the ability to present confidently and work effectively with team members at all levels
- Ability to investigate, analyze and interpret MI
- Excellent attention to detail
- Extensive working knowledge of MS Office tool set
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