Compliance Advisor - Investment Management

London, South East England
17 Jul 2017
16 Aug 2017
Contract Type
Full Time

Our Client

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 Role

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

Key Requirements

  • 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.