Senior Compliance Advisor - Asset Management

09 May 2017
08 Jun 2017
Contract Type
Full Time

Our Client

Our client is a boutique Asset Manager with around £175b AUM and are currently looking to recruit an experienced regulatory specialist to take on a senior Compliance position in their London office. This is an exciting opportunity to work for a growing firm which investsacross a broad spectrum of asset classes from traditional equities and fixed income to alternatives such as hedge funds, infrastructure and private equity.

The Role

Reporting into the Head of Compliance Advisory, you will be responsible for:

  • Annual review and development of all compliance policies
  • Advising on any market abuse / maintaining insider and restricted lists
  • Update on key regulatory changes impacting the business
  • Advising on TCF
  • Ensuring relevant individuals are fully aware of the parameters of their authorisation and have gone through the relevant process
  • Providing support and advice on APER and SMR
  • Providing advice in event of compliance/regulatory breaches
  • Review & sign-off of all marketing material and relevant communications (including presentations, speeches, brochures, articles, broadcasts)
  • Preparing and delivering training on compliance policies, regulatory hot topics/focus areas; deliver monthly induction training to new joiners; and prepare and deliver annual refresher training.

Key Requirements

The ideal candidate will have:

  • Relevant experience operating as a Compliance Advisor or Compliance Generalist for a regulated entity within the Financial Services industry - preferably Asset Management sector but will also consider Investment Banking and Hedge Fund.
  • Good report writing and presentation skills
  • Experience working closely with senior business stakeholders
  • You will be articulate, pragmatic, commercially minded, analytical and solutions-focussed, with exceptional drive and enthusiasm.
  • 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.
  • Educated to degree standard or holder of a relevant professional qualification.