Interim Compliance Advisor - UK Reg Experiecne

Oliver James associates
17 May 2017
16 Jun 2017
Contract Type
Part Time

Oliver James Associates Dublin are currently representing a global leading Asset Management organisation in their focus to appoint an Interim Compliance Advisor with UK regulatory experience on an interim

Our client are an Irish UCITS Management Company, which purses the activity of collective portfolio management to UCITS funds. Our client has recently established a Branch in London in order to carry out the collective portfolio management services to a number of UCITS funds, on a cross-border basis and under passport regime.

Based in Dublin, this role will be a part-time interim position within the Compliance department, reporting to the Compliance officer.

The successful candidate will have the necessary skills to conduct their responsibilities of overseeing the branch's compliance, conduct and systems & controls and will be responsible for supporting and assisting the management of regulatory matters as well as procedures relating to compliance and AML, in relation to the UK regulatory environment for the new London branch.



  • Identifying applicable regulations; monitoring and implementing any changes to same and continuously enhancing best practices for the new London Branch;
  • Identifying regulatory requirements applicable to the Branch Vs regulatory requirements applicable to the Company, highlighting similarities and/or differences;
  • Ensuring compliance at all times with the relevant activities carried out by the company to UCITS, MIFID 2, regulatory regime (FCA and PRA Regime), Personal Conduct (Personal Account Dealing, Gifts Entertainment and Inducement's, Whistleblowing, Anti-bribery and corruption regime), Conduct of Business (COBS, Client Categorisation, Market Abuse and the UK Conduct Regime, Order transmission and execution, Confidentiality, Training and Competence (T&C), Record keeping, Business continuity, Conflicts of Interest, Treating customers fairly (TCF), Conduct risk, Data protection, Complaints handling, Data security, Senior Managers and Certification Regime), Financial Crime and AML
  • Ensuring compliance at all times with the relevant activities carried out by the company to Regulations, Codes, Internal and Group Procedures;
  • Reviewing and maintaining the Compliance Manual and the Monitoring Plan applicable to the branch
  • Conducting relevant compliance activities in accordance with the Monitoring Plan applicable to the branch
  • Identification and timely escalation of any compliance issues arising during, or as a result of, the compliance related activities performed;
  • Ensuring timely and accurate completion of regulatory reporting;
  • Participating and contributing to the review of internal policies and procedures and providing compliance advice as required to the business;
  • Reviewing the company's main contracts and agreements;
  • Liaising with the relevant internal department and legal advisers in order to draft the KIID and make any amendment to the prospectus
  • Developing relationships with the Desk's key main stakeholders (UK regulators, FCA and PRA, Branch

Manager, Directors, Parent Company, Clients, Brokers, Auditors, Fund Administrators, Custodian Banks, Portfolio Managers, Outsourcers, Advisor/Consultant);

  • Assisting with the regular reporting to the Board of Directors
  • Facilitating and providing compliance and AML Induction training in relation to the key regulatory requirements applicable to the London Branch


  • Updating AML manual in accordance with regulations or guidance from the regulators;
  • Reviewing AML documentation in line with relevant AML policies and procedures;


  • Proven excellent knowledge of the UK regulatory environment is essential;
  • Good understanding of the Fund Management and/or Investment Management industry is essential;
  • Experience within a fund/asset management working environment is essential;
  • Experience within filing reports/notices with Regulators and reporting to Board of Directors Excellent attention to detail is essential;
  • Excellent report writing skills are essential;
  • Excellent time management, problem solving and analytical skills are essential;
  • Flexible and hardworking with the ability to work in a fast-paced busy environment;


  • A third level degree qualification is essential;
  • At least 7+ years relevant experience within a Compliance Unit in UCITS Management Company, with significant UK experience;
  • The achievement of a recognised compliance qualification is advantageous.

Should this position be of interest, please feel free to send your CV to the below contact details.