Our client is a highly reputable Asset Manager which has been at the forefront of designing and delivering investment solutions for nearly 20 years. They have grown to become one of the largest asset managers in the UK, winning industry recognition for their investment capabilities across liability driven investment, fixed income, specialist equities, multi asset and absolute return.
Due to continued growth they are actively looking to bolster their Compliance team by bringing in an experienced Compliance Advisory specialist in London. The role itself will be quite broad and will cover the following:
- Providing clear advice, guidance and training to the business and new joiners on regulatory matters, including the Compliance manual, policies and procedures and dealing with queries from the business in a timely manner.
- Reviewing the effectiveness of the firms’ systems and controls in mitigating its regulatory risks.
- Development and maintenance of the Compliance manual, policies and procedures - ensuring these are kept up to date and relevant for the business and mapped back to the wider group policies.
- Undertake horizon scanning to identify and assess the impact of new/amended regulatory requirements, guidance and hot topics relevant to the business.
- Proactively liaise and work with business areas on implementing new or amended governance arrangements, processes and controls regarding areas of regulatory change and focus.
- Involvement with FCA surveys, visits, reviews including inputting into the provision of information requests and onsite visits as well as assisting the business to prepare for onsite FCA visits
- Production and implementation of training covering key regulatory risks impacting the business
- Minimum of 5 years working in a Compliance Advisory role
- Must have worked in an Asset or Investment Management environment
- Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Trade Execution, Conflicts of Interest, PA Dealing, Best Execution, Financial Promotions, CASS
- Able to build and maintain relationships with key business stakeholders of all levels
- Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines