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Senior Compliance Officer – Advisory (Asset Manager)

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £100,000-£115,000 basic plus package

  • Consultant:

    Edward Manson

  • Email:

    emanson@merje.com

  • Job ref:

    EM/16785

  • Published:

    13 days ago

Our client is a well-established Asset Manager which has been at the forefront of designing and delivering investment solutions for a significant period of time. They have grown to become one of the most reputable firms in their space in the UK, winning industry recognition for their investment capabilities.

The Role

Due to continued growth they are actively looking to bolster their Compliance team by bringing in an experienced Compliance Advisory specialist in London to provide oversight of their existing team.

You will be responsible for:

  • Providing advice and guidance to the business and key stakeholders with regards to FCA compliance requirements and respond to ad hoc business requests for assistance and providing regulatory advice in line with regulations and where appropriate, industry best practice.
  • 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.
  • As a senior member of the team, to promote good conduct and culture by embedding high standards within the advisory team and wider function.
  • The team's ongoing maintenance, enhancement, development and delivery of compliance training programs and activities for the UK entities 
  • Providing advice and guidance regarding Market Abuse
  • Assisting and provide day to day leadership, support and mentorship to the Compliance Advisory team with the responsibility for advising and supporting them on all aspects of regulatory compliance required for a dual-regulated investment management firm.
  • Assist with the implementation of regulatory development/change projects, working collaboratively with the business to facilitate appropriate impact risk assessments, gap analysis and to ensure implementation requirements are executed to a good standard and in a timely manner.
  • Proactively liaise and work with business areas on implementing new or amended governance arrangements, processes and controls regarding areas of regulatory change and focus

Requirements:

  • Minimum of 7-10 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

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities in the future.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities in the future.