Compliance Advisor – Asset Management (12 Month FTC)

Recruiter
MERJE
Location
London (Greater)
Posted
11 Jan 2018
Closes
11 Feb 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

Our Client

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.

The Role

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:

-Financial Crime

-Personal Trading

-Outside Business interests/Conflicts

-Financial Promotions approval under FCA and SEC rules

-UCITS/ Fund Compliance

-Individual registrations

  • 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

Key Requirements

  • 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