The Client

The role is with a multi-national asset management firm with Headquarters in London. Their customers include individual savers and investors, members of pension schemes and life insurance policyholders. Company currently manages almost £300 billion of customer assets in investments including: bonds, equities, infrastructure, property, alternatives and cash. About 2000 employees globally, with 1400 in their London office.

The Role

Working as a part of the investment compliance advisory team you will be directly responsible for providing professional and timely Compliance advice to the investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities. While reporting directly into Investment Compliance Advisory Manager, your responsibilities will include:

• Providing advice and support to the business in relation to institutional product regulation
• Regulatory rule interpretation as well as advising on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, US Investment Advisers Act etc.)
• Act as a deputy for the Head of Investment Compliance Advisory in meetings when required
• You will be working closely with the Regulatory Development team on regulatory changes with a markets / trading focus as well as advising the front and back office on transactional regulation and market facing issues
• You will need to be able to advise the business on MiFID II and EMIR requirements and other markets / trading related matters
• Supporting a range of regulatory change projects and business changes projects which have regulatory impacts
• Continuously seek to improve advice, compliance processes and controls
• Technical input with regards to the development of regulatory training (e.g. market abuse, information barriers, conflicts of interest)
• Supporting the review and ongoing maintenance of company policies and inputting into the delivery of regular Compliance Department
• Completing due diligence when the business is seeking to invest in a new market or instrument

Key Requirements

• Experience in managing small teams
• University degree and/or relevant industry qualification
• 5 to 10 years working experience of delivering Compliance advice in an institutional asset management or sell-side/broker environment
• Good working knowledge of trading and trading lifecycle (incl. back-office) of liquid products (e.g. cash equities, bonds, derivatives)
• Knowledge of MiFID II, AIFMD and EMIR
• Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
• You will
  • Be a self-starter, high levels of initiative and a strong work ethic
  • Able to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner
  • Have strong communication skills
  • Be commercially aligned with a can do attitude and pragmatic approach to provision of advice
  • Be a team player, supportive with a collegiate approach