Compliance Advisor – Asset Management (12 Month FTC)
Our client is a globally recognised Asset Manager and have a new requirement to hire a well-rounded Compliance specialist on a 12 month fixed-term contract.
Reporting into the Head of Compliance Advisory, you will be responsible for:
- Supporting the Compliance Advisory Team in the maintenance of compliance policies and procedures for the business
- Oversee queries from the business covering:
-Outside Business interests/Conflicts
-Financial Promotions approval under FCA and SEC rules
-UCITS/ Fund Compliance
- Conduct quality assurance work for junior members of the team
- Assist with design and delivery of compliance training to the business
- Completion of relevant regulatory returns
- Liaise with Compliance Monitoring and Internal Audit to deal with issues related to the Advisory Team’s responsibilities
- Working with the Senior Compliance Manager to lead on identifying and assessing regulatory changes that impact the business
- Attend key business committees, providing effective contributions as a representative of the Compliance Department.
- Drafting of compliance, risk and related reports on behalf of the Compliance team.
- Involvement in Compliance projects as appropriate
- Proven experience (5-8 years) of providing compliance advice within a UK asset management organisation
- Excellent in-depth technical knowledge of the regulatory framework for asset management firms
- Good understanding of EU/UK legislative and regulatory landscape.
- Be confident in dealing with senior stakeholders
- Have excellent organisational, communication and presentation skills
- Have the ability to work under pressure whilst managing multiple and conflicting deadlines