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Compliance Advisory - Funds - 12 month FTC

eFinancial Careers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

A leading asset manager is seeking an experienced Compliance Advisory candidate to join the team on a 12 month basis. The successful candidate will be experienced within authorized funds (offshore and onshore). Experience within distributions and financialpromotions would also be useful.The role

  • Compliance advice on fund-related queries, including from fund managers, accounting, ta operations, sales, product, and distribution
  • Compliance advisory services on product change projects
  • Support for the analysis and implementation of regulatory changes across the UK and EU affecting Management Companies e.g. PRIIPs, Consumer Duty
  • Provide Compliance input to business and regulatory projects ensuring that full consideration is given by the project to new and existing regulatory rules, as appropriate and that all relevant compliance considerations are taken into account.
  • Provide Risk and compliance department input into RFPs and other information gathering exercises from potential and existing clients.
  • Develop and maintain good working relationships with colleagues across the Company.
  • Financial Promotions - assist with the review of all marketing materials and other documentation, including KIIDs, with consideration to regulatory requirements including those of regulatory bodies and the FCAs Treating Customers Fairly principles.
Requirements
  • Proven Compliance Advisory experience, ideally gained within the asset management industry.
  • Good knowledge of UCITS asset and markets eligibility.
  • Good knowledge of front office and dealing operations (e.g. Equities and Fixed Income).
  • Knowledge of UK and EU marketing rules and familiarity with SEC requirements would be beneficial, but not essential.
  • Excellent communication skills and ability to build strong relationships across the business.
  • A proactive nature and pragmatic work ethic.
  • Highly numerate with attention to detail.
  • Excellent communication and influencing skills.
  • Organisational skillscapable of working to deadlines and multi-tasking.
  • IT skills including using MS Excel, PowerPoint and Word, generally proficient with technology.
  • Ability to work well as part of a team.
  • Resilientable to cope in a fast moving and challenging environment.
  • Continuous improvement mindset.

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