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Senior Compliance Manager CF10

James Joseph Associates
Closing date
26 Nov 2020

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Job Details

Our client is an internationally renowned asset and investment management firm. The opportunity has arisen, initially on an Interim basis, for a Senior Compliance professional with proven leadership, management, and relationship management skills at a very senior level to directly support the Head of EMEA Compliance.
THE ROLE: Senior Compliance Manager CF10
The Compliance function is responsible for providing timely and high-quality compliance advice to the various business divisions in respect of activities, products, and services within the EMEA region. This position has been created in support the Head of EMEA Compliance in overseeing key product and client solutions activity. In particular, the role will oversee ETF and Index business, wealth sales channels, client solutions, cash and money markets and institutional client businesses. However, there will be overlap with other aspects of compliance oversight including product development and portfolios management and trading.
The ideal candidate will have relevant experience within financial services, within Compliance or Legal at a very senior level, ideally having held a CF10 position or its equivalent with another regulatory authority. Previous exposure to exchange traded products is desirable. More importantly, significant knowledge and experience of UCITS funds domiciled in the U.K., Ireland, Luxembourg and/or Germany will prove a distinct advantage. Experience of working within regulatory frameworks outside the U.K., ideally as a regional Head of Compliance, is highly desirable. In addition, the individual will need to have proven leadership skills. The candidate will have responsibility for establishing and maintaining strong and constructive relationships with senior business heads and therefore should have a proven track record of successful relationships management at a senior level
We are seeking an experienced compliance professional preferably with a broad knowledge of UCITS, AIFMD & MiFID requirements. The successful candidate is likely to have worked extensively in Asset Management, but it is possible that a background in EMEA regional insurance, banking or consulting may prove suitable. The ideal candidate would have substantial regulatory expertise, excellent communication skills, together with proven leadership and relationship skills. A strong working knowledge of aspects of key regulatory requirements in supporting of a number of key directives and business functions.
* Primary support of the Client Solutions and Distributed Services team with compliance.
* Working on new business initiatives to assess impact and ensure appropriate frameworks are put in place. In particular partnering with the business in developing client solutions
* Participating in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice
* Responsible for building and maintaining strong relationships with Senior heads in these business areas.
* Responsibility for advising the business, front office and sales on regulations that impact them, including investment advice, product governance and inducements
* Oversight of reporting into local Boards and Executive Committees.
* Acting as the compliance contact for specified projects, including for example business initiatives, mergers & acquisitions, compliance projects, new regulations.
* Dealing with regulatory matters arising, and projects as required, including regulatory changes.
* Liaison with other BlackRock business units, and external parties such as transfer agency and other third-party providers, auditors, trustees, and regulators as required.
* [10] + years of experience in an equivalent role in asset management
* strong background in regulatory compliance with good understanding of UK and EU regulations
* Strong communication skills with an ability to articulate complex regulatory matters and well-developed relationship management skills
* Technical ability and mindset to challenge the status-quo and deliver a solutions-driven approach and the judgment to use this in appropriate circumstances.
* Consistent ability to demonstrate high standards of professional accuracy and excellent attention to detail.
* Experience of managing compliance teams and/or senior leadership role within Compliance
* Demonstrable ability to influence a highly performing internal client base by delivering timely, credible, accurate and value-added advice
* Proven ability to clearly communicate and engage with senior leadership and Boards on regulatory compliance matters and risks.
* Effective written and oral communication skills including fluency in English; other languages are a plus
* High standard of accuracy and excellent attention to detail
* Very good analytical skills
* Pragmatism and ability to use initiative
* Strong interpersonal skills
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