Compliance Advisor - Investment Management
Our client is one of Europe's leading Investment Management firms and due to continued growth, they are currently looking to recruit a credible regulatory specialist. They offer a unique culture and a supportive environment that encourages innovation and creativity whilst maintaining a healthy lifestyle balance.
The team provides professional and timely Compliance advice to the firm’s institutional asset management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities
The successful candidate will be required to:
- Provide transactional and product regulatory advice to the investment management business
- Support the preparation and review process for US Regulatory Filings
- Regulatory rule interpretation including with UK and non-UK requirements (e.g. SYSC, COBS, COLL, FUND, US Investment Advisor Act etc.)
- Wide-ranging Compliance advice to the front and back office
- Supporting a range of projects (e.g. new fund / product launches and ad-hoc regulatory projects).
- Client support activities (e.g. Request for Proposal ("RFP") input, client pitches and visits etc.)
- Adopt a creative approach to identify solutions to any challenges that may arise in executing the delivery of Compliance methodologies and approaches
- Assist in the delivery of regulatory change.
- Assist in the review of regulatory content within training modules.
- Develop positive and professional working relationships within the Investment Management business, Risk, Legal, HR, Compliance and Group-wide Internal Audit departments
- Work closely with the Compliance Strategy & Regulatory Development team to understand the impact of forthcoming legislative / regulatory change and the need to update Compliance policies and procedures
- Experience of delivering Compliance advice in an institutional asset management environment
- Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
- Product regulatory knowledge (covering a variety of regulated and unregulated collective investment schemes)
- Experience of AIFMD, UCITS, EMIR, derivatives and client money issues would be desirable
- Highly numerate with strong analytical skills
- Confident and articulate, with excellent written and verbal communications skills.
- Excellent report writing ability.
Good attention to detail and sound planning, prioritisation, problem solving and organisational skills.