Compliance & Legal
|Salary:||£85000 - £100000 per annum + benefits|
|Job Published:||almost 5 years ago|
My client, an industry leading asset management company are looking to recruit a Compliance Manager to work with their busy institutional team. The role is to provide support to the Head of Compliance in the provision of regulatory advisory services across the client's EMEA business lines and oversight of any 3rd party compliance advisory consultants located in such locations. The main responsibilities of the role include the following:
- Interpretation of regulatory developments and the appropriate advice to the EMEA regulated business lines in respect of the impact on the business and of the resulting process changes.
- Provision of advice and guidance on general regulatory queries across EMEA business lines and globally.
- Maintenance of policies and procedures within the EMEA based compliance framework
- Investigation, reporting and resolution of regulatory and fund breaches in a timely fashion.
- 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 witht he EMEA Product development team with t he provision of a regulatory 'voice' during any development.
- Maintenance and advice in respect of the conflict of interest register for any of the client's regulated entities.
- Assist with the preparation of any regulatory reports as required by the various boards of directors and associated 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.
- Strong knowledge of COLL or UCITs
- Working knowledge of the following FCA rules - PRIN, SYSC, APER, BIPRU, SUP, DTR and COBS.
- Familiarity with the applicable EU directives - MIFID, EMIR and AIFMD.
- Compliance familiarity with fiduciary management, transition management or overlay services.
- Knowledge of other regulatory jurisdictions.
- Experience of managing a small team.
- Extensive stakeholder management, negotiating and influencing skills.
- 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.
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