MERJE are working with a leading investments business who are looking for a Compliance Advisory Manager to join their business.

• Provision of advice and guidance to the business

• Advise on new regulatory compliance requirements appropriately implemented when due

• Ensure appropriate control systems are in place to minimize regulatory risk

• Respond to compliance queries from the business and assist in the resolution of issues

• Monitor and review Fund regulations and restrictions on investments

• Acting as the point of contact for portfolio managers

• Setting up and monitoring of relevant compliance rules within Portfolio Management Systems

• Support the Best Execution framework and making sure that all relevant alerts and reports are properly investigated

• Review and approve financial promotion material ensuring all documentation meets current regulatory requirements and is consistent across the product base

• Perform monitoring and surveillance of trading activities and communications.

Key Requirements

• Degree and/or Professional Compliance qualification

• At least 3 years experience in Compliance within financial services with ideally asset/wealth management exposure

• Proven understanding of the regulatory environment particuarly FCA systems and controls

• Strong knowledge of Compliance and Conduct risk

For more information on this role please contact Jake Kelly on 0203 637 1604 or jkelly@merje.com

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