My client, an industry leading asset management company are looking to recruit a Compliance Manager to work with their busy retail distribution team. Working with the Head of EMEA Compliance the main focus of the role is to provide regaultory oversight to the client's retail distribution activities - either UK or EMEA based. the main responsibilities of the role are as follows:

  • Interpretation and monitoring of regulatory developments and the appropriate advice to the EMEA regulated business lines (with emphasis on retail activities) in respect of the impact on the business and of the resulting process changes.
  • Provision of advice and guidance on general regulatory (with emphasis on retail activities) queries across EMEA business lines and globally.
  • Maintenance of policies and procedures within the EMEA based compliance framework (with emphasis on retail activities)
  • Assist in the oversight and continuous assessment of any 3rd party compliance advisory services provided across the applicable EMEA locations.
  • Provision of training to all applicable staff within the EMEA regulatory framework.
  • Collaborate with the EMEA Product development team witht he provision of a regulatory 'voice' during any development.
  • Maintenance and advice in respect of the conflict of interest register for any of the clients' regulated entities.
  • Assist with the preparation of any regulatory reports as required by the various boards of directors and associetd committees.

To be considered for the above role the ideal candidate should posses the following skills and attributes:

  • Experience of working at a senior level in an advisory compliance capacity within an asset management company.
  • Familiarity with retail distribution of investments.
  • Understanding of the FCA RDR and the regulatory impact on asset management
  • Working knowledge of the following FCA rules - PRIN, SYSC, SUP, DISP, RPPD and COBS.
  • Familiarity with the applicable EU directives - MIFID ll
  • Extensive stakeholder management, negotiating and influencing skills.
  • Able to work collegiately within a small team.
  • Strong report and policy/procedure writing skills.

In exchange for the above my client offers an attractive and competitive salary package and the opportunity to join and shape the development of a successful compliance team.