At Yealand, we value diversity in background, thought, and approach, and we are committed to ensuring all our employees have an equal opportunity to develop their career and personally grow at Yealand.  All staff are treated with dignity and respect, and we provide a working environment that respects the rights of every member of our team.

Senior Compliance and Product Oversight Manager

The responsibilities of the role are two-fold; 1. Oversight of delegated Investment Managers, and 2. Internal compliance monitoring. The role involves:

  • Oversight of the appointed external (UK) Investment Managers managing Unit Trust, OEIC and QIS funds in line with the established oversight framework.
  • Autonomous ownership of annual thematic oversight reviews in line with the agreed annual plan, from desk-based preparation to onsite review meetings and subsequent reporting and tracking to completion of any assigned actions.
  • Initial due diligence of new, prospective Investment Managers prior to their onboarding.
  • Internal oversight reporting,
  • Reporting to the Investment and Product Governance Committee
  • Maintaining the holistic IM oversight dashboard.
  • Internal Compliance Monitoring in line with the risk-based annual Compliance Monitoring Plan

To learn more, please contact