Compliance Strategy - Regulatory Development Manager

5 days left

GA Global
02 Feb 2017
02 Mar 2017
Contract Type
Full Time

A global blue chip Asset Management organisation located in Central London are undergoing business expansion and require a Regulatory Development Manager - Compliance Strategy to provide expert advice to support the Compliance strategy.


  • Consider the impact on regulatory compliance of (a) discretionary activities undertaken by the organisation to achieve its growth ambitions, (b) rule modifications / changes to the supervisory environment and (c) potential industry disruptors.
  • Identify potential gaps in Compliance people, processes, systems and/or culture as a result of the above analysis.
  • Propose modifications to remediate these gaps, factoring in industry best practice (e.g. as expressed by the FICC Market Standards Board and peer firms).
  • Ensure that the Compliance strategy incorporates necessary modifications and remains up-to-date.
  • Participate in targeted annual assessments of Compliance performance.
  • Explore opportunities to enhance efficiency, capacity and quality; this includes the use of new technology and software applications where relevant.
  • Be creative and identify solutions to any challenges that may arise in executing the delivery of Compliance methodologies and approaches.
  • Work closely with the Compliance Framework & Operations team and Compliance Advisory teams to understand the impact of forthcoming legislative / regulatory change and the need to update Compliance policies and procedures.
  • Develop positive and professional working relationships with Risk, Compliance and Group-wide Internal Audit departments.

Skills & Experience

  • Strong technical knowledge and expertise in the asset management industry and in depth knowledge and awareness of the UK and European Compliance environment.
  • Good understanding of the process and development of Compliance strategy.
  • Excellent written and oral communication skills and the ability to analyse complex and evolving business environments and determine the impact on Compliance priorities.
  • Ideally you will possess a University degree (or equivalent) and relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment). Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate) is desirable.

This is an outstanding opportunity to develop your career in a strategic Compliance position which is very internal consulting in focus. For further information and to register your interest please do apply with your full CV details.