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Compliance Advisory Manager Investment Management

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

Job Description

Our client are a growing UK Investment Management firm.DescriptionThe Compliance Advisory Manager will be responsible for:

  • Advising the business on policies and procedures, including representing Compliance in business projects where Compliance input/representation is required
  • Leading on other compliance related activities, including Financial promotion sign-off (including associated monitoring controls)  SMF FCA applications  Conflicts of interest management co-ordination  Compliance related funds work related to in-scopejurisdictions eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID reviews
  • Implementing regulatory changes for in-scope jurisdictions: Collaborate with the North America Advisory Manager and Regulatory Policy Manager to implement regulatory policy change into the business. Regulatory changes could be rule changes, as well as changesin the relevant regulators interpretations/expectations or best practice findings. Via
  • Sharing technical knowledge and jurisdictional expertise to support the Regulatory Policy Managers creation of an implementation plan and impacts on the business
  • Ensuring 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 material
  • Liaising 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 program
  • Assisting with the development and delivery of compliance training  Supporting other business areas to develop and maintain systems, procedures and controls to ensure ongoing compliance
  • Support Day to day management of staff within your team including recruitment, training, appraisals, salary review etc
ProfileThe Compliance Advisory Manager should have the following skills:
  • 4-6 years Compliance regulatory/advisory experience within UK financial services, preferably asset management/wealth management, with 1-2 years management experience
  • Experienced in advising on UK and EU compliance policies and working with the business regarding policy changes, as well as experience of UK/EU fund structures
  • Desirable but not essential: university degree and professional exams (eg IMC, CISI Diploma) -
  • Competent user of Microsoft Office eg Word
Job OfferCompetitive salaryStrong benefits packageHybrid working

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