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Assistant Compliance Advisor - Retail Investments

Posted 26 February by MERJE Ltd Easy Apply Ended

Our Client

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.

The Role

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.)

Key Requirements

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

Required skills

  • Banking
  • Compliance
  • Regulations
  • Wealth Management

Reference: 34150584

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