Senior Compliance Advisor - Funds

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

Our Client

Our client, a well-established and reputable Asset Manager (£500bn AUM )is currently seeking an experienced Compliance specialist to provide regulatory advice and guidance in respect of their various Funds that are managed and distributed offshore.

The Role

Reporting into the Chief Compliance Officer, you will be responsible for:

  • Providing clear and consistent technical advice and guidance in respect of mutual funds to the Board, Senior Management and other colleagues on regulatory risk matters
  • Managing the Compliance relationships with the Investment and Operations teams and key outsourced suppliers (Transfer Agents & Fund Accountants) in relation to the mutual funds managed and distributed.
  • Manage day to day relationships with Depositaries both in the UK and Ireland.
  • Providing Compliance input into a range of projects such as the launch of new products, take on of new clients and other projects and development initiatives.
  • Supporting the business in the development of the new funds and structures across different jurisdictions (specific emphasis on Ireland).
  • Proactively reviewing the impact of regulatory change and formulate policy, assisting the business in exploiting any commercial opportunities arising.
  • Assisting with the implementation of Group Policies.

Key Requirements

The ideal candidate will have:

  • Strong understanding of the asset management industry, and specifically investment products (covering Equities, Fixed Income, Money Markets and Derivatives).
  • An in-depth knowledge of regulatory rules in relation to UCITS/AIFMD and their interpretation both in the UK & Ireland
  • Strong relationship skills with the ability to engage proactively with Senior Management and colleagues at all levels.
  • Attention to detail and accuracy, and works systematically to meet and maintain standards, and adhere to procedures.
  • Good analytical skills, capable of thinking logically, using initiative and systematically able to resolve problems.
  • Proactive, self-supportive and motivated in the development of a positive risk culture.
  • Good report writing and presentational skills.
  • Educated to degree standard or holder of a relevant professional qualification.