Our client is a well-regarded, reputable and entrepreneurial Asset Management business and due to continued growth they are looking to recruit a credible Compliance Advisory specialist within their Retail Investment unit.
You will be responsible for:
- Advice and support to the business in relation to retail product regulation (including ISAs)
- Regulatory rule interpretation including both UK and non-UK requirements (e.g. CASS, COBS, COLL, etc.)
- Advice and support in relation to fund governance
- Technical input with regards to the development of regulatory training
- Supporting a range of business projects
- Financial Ombudsman Service complaint handling
- Assist in the delivery of regulatory change
- Maintain relationships with third party outsource providers (TAs, Fund Accounts, Price Makers, etc.)
To succeed in this role you will have knowledge of:
- Experience of delivering Compliance advice in a retail asset management environment or similar.
- Knowledge and awareness of UK and European regulatory environment
- Product regulatory knowledge (covering a variety of regulated collective investment schemes and ISAs).
- Experience of unregulated collective investment schemes, derivatives, client money, UCITS, fund distribution issues would be desirable.
- Excellent written and oral communication skills
- Attention to detail
- Self-starter, high levels of initiative and a strong work ethic
- Wealth Management
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