- Provide guidance and advice for the establishment of a UK retail manufacturing and distribution framework.
- Assistance with thematic monitoring reviews -defining scope, adding subject matter expertise, production of written reports,
- Provision of accurate and timely technical advice to the business and senior management on the impact of regulations which affect the firm's businesses e.g. Market Abuse, MiFID II, Senior Managers Regime
- Assume responsibility for assigned project work
- The candidate will be required to establish and maintain relationships with senior business leaders and compliance staff in London and across the firm globally.
- To assist the Head of Compliance in delivering day to day regulatory work and support the London business
- Assess the effectiveness of current policies, procedures and controls. Implement change to meet new regulations.
- Tracking & ensuring prompt follow up of agreed actions and changes arising from meetings and thematic reviews across the business.
- Designing and providing training to the firm's staff with respect to compliance standards and relevant procedures and policies and on new and existing regulatory matters.
- Preparation of MI and other reports on Compliance and regulatory issues for the senior management team, the Board and Global Compliance Committees.
- Co-ordination of local regulatory advice & responsibility for local regulatory reporting for the client's overseas offices and subsidiaries in the region.
- Approval of Marketing materials to meet FCA / business requirements
Essential Skills / Experience Required
- Minimum 5 years Asset Management Compliance experience.
- Extensive experience in a senior compliance role within the UK or European asset management industry;
- Detailed knowledge of retail funds governance and distribution & market practice in the financial industry.
- Strong technical knowledge - including a detailed understanding of FCA rules, SYSC, COBS, MAR, as applicable to a manufacturer of equity and fixed income funds and discretionary asset manager.
- Demonstrate a clear sense of accountability in performing the role
Personal Attributes Required
- Strong interpersonal skills and ability to forge relationships with staff across departments and in global offices at various levels of seniority
- Attention to detail is essential
- Collaborative team player as this is a small closely knit team.
- Ability to manage priorities and work autonomously where appropriate.
- Good commercial judgment - able to decide what is important.
- Flexibility in approach - willing to change working practices and procedures as the firm evolves.
- Confident in providing relevant advice to senior stakeholders.
In exchange for the above my client offers a competitive remuneration package and the chance to develop and enhance the distribution of retail funds in the UK and Europe.