COMPLIANCE ADVISORY MANAGER-ASSET MANAGEMENT-City

Recruiter
AJB Executive Search Limited
Location
London, South East England
Salary
70000.0000
Posted
18 Jun 2017
Closes
18 Jul 2017
Contract Type
Permanent
Hours
Full Time

Our client is a highly regarded city based Asset Manager seeking a permanent Compliance Advisory Manager to focus on providing assistance advice and guidance to all business areas on all regulatory

You will provide support to the following UK businesses areas, Multi-asset, Real Estate (direct& indirect, Liquid Investments (equity & fixed income) Private credit. Infrastructure debt and equity

Responsibilities

  • Provide the business with compliance expertise, advice and guidance on all UK regulatory matters (excluding financial crime).
  • Ensure the maintenance or required regulatory licences, permissions and passports in the UK and EU.
  • Support the business in its management and mitigation of reputation and regulatory risk.
  • Provide regulatory guidance to all branches.
  • Advising on the implementation of regulatory change (working with the Mandatory Change transformation team).
  • Provide advice and support to the front office portfolio management teams on market abuse, standards of market conduct and other regulatory rules & requirements relating to the management of investment.
  • You will also assist the Distribution Compliance Manager with:

o the approval of marketing materials on a global basis (excluding US and Asia);

o the review of all distribution agreements to ensure that they meet applicable regulations and UCITS requirements;

o Providing compliance advice and approval of product development and modification in all business areas.

  • Provide guidance and support on the implementation and/or enhancements of procedures and controls as necessary.
  • Responsible for Ad hoc compliance and regulatory projects as they arise.
  • Support the EMEA Head & Global Compliance colleagues on global business initiatives and projects as directed.

Excellent in-depth technical knowledge of regulatory framework and asset management products, particularly in relation to UCITS/AIF and European cross-border distribution regulation.

Knowledge of front office systems & controls - MAR, Best Execution, MIFID II implementation, as well proven experience of regulatory interpretation

Understanding of EU and other significant global legislative processes

CANDIDATE PROFILE

You will be a graduate with a minimum of 3 years proven compliance advisory experience within Asset Management (you may have a consultancy background) and proven experience of regulatory issues affecting an asset management business

Trading experience would be positively received

Proven experience of regulatory issues affecting asset management business

Excellent in-depth technical knowledge of regulatory framework and asset management products, particularly in relation to UCITS/AIF and European cross-border distribution regulation.

Knowledge of front office systems & controls - MAR, Best Execution, MIFID II implementation.

Proven experience of regulatory interpretation

Understanding of EU and other significant global legislative processes

Strong written and verbal communicator.

Legal or accounting qualification preferred (but not essential)

CASS /Client money experience an advantage