Compliance Advisory Manager

Job Description

Compliance Advisory Manager (Investment/Wealth Management)Central London/HybridPermanentc£75,000 - £80,000 pa plus benefitscer Financial are working alongside a West End based Investment Management institution who are looking for a Compliance Advisory Manager to join them on a permanent basis. This role will be responsible for supporting and advising the UK and EMEA based businesson Compliance Policy, Procedure and Regulatory Changes. The successful candidate will have buy-side experience spanning Investment Management, Wealth Management, or Funds ideally.The Responsibilities of a Compliance Advisory Manager UK/EMEA Will Include:Advising the business on the policies and procedures, including representing Compliance in business projects where Compliance input/representation is requiredLeading on other compliance related activities, including Financial promotion sign-off (including associated monitoring controls), SMF FCA applications, Conflicts of interest management co-ordination, and Compliance related funds work related to in-scopejurisdictions eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID reviewImplementing regulatory changes for UK/EMEA, collaborating closely with the North America Advisory Manager and Regulatory Policy Manager to implement regulatory policy change into the business.Sharing technical knowledge and jurisdictional expertise to support the Regulatory Policy Managers creation of an implementation plan and impacts on the business.Ensuring the compliance policies and procedures are in line with regulatory requirements, updating and refreshing them as regulatory requirements/expectations change.Assisting with implementation of regulatory changes into the business, with the appropriate level of collaboration with Compliance colleagues and the business.Regulatory reporting for in-scope jurisdictions - assist, as requested, in ensuring that all compliance related reporting is complete and submitted on time, as well as assisting with relevant registrations (whether firm level or individual level) and requiredfirm-level materialLiaising and working closely with the Compliance Monitoring team to ensure that they are aware of changes to policies and procedures, so they can make the relevant changes to their monitoring programAssisting with the development and delivery of compliance trainingSupporting other business areas to develop and maintain systems, procedures, and controls to ensure ongoing complianceDay to day management of staff within your team including recruitment, training, appraisals, salary review etcThe Successful Compliance Advisory Manager UK / EMEA Will Have:4-6 years Compliance regulatory/advisory experience within UK financial services, preferably asset management/wealth management, with 1 - 2 years management experienceExperienced in advising on UK and EU compliance policies and working with the business regarding policy changes, as well as experience of UK/EU fund structuresAbility to think practically and pragmatically, resulting in identifying potential solutionsPeople management experiencePassion for Compliance - desire to learn and develop knowledge on regulatory mattersIf interested please email or call Steve on .