The role is with a multi-national asset management firm with Headquarters in London. Their customers include individual savers and investors, members of pension schemes and life insurance policyholders. The company currently manages almost £300 billion of customer assets in investments including bonds, equities, infrastructure, property, alternatives and cash. About 2000 employees globally, with 1400 in their London office.
Working as a part of the investment compliance advisory team you will be directly responsible for providing professional and timely Compliance advice to the investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities. While reporting directly into Investment Compliance Advisory Manager, your responsibilities will include:
- Providing advice and support to the business in relation to institutional product regulation
- Regulatory rule interpretation as well as advising on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, US Investment Advisers Act etc.)
- You will be working closely with the Regulatory Development team on regulatory changes with a markets / trading focus as well as advising the front and back office on transactional regulation and market facing issues
- You will need to be able to advise the business on MiFID II and EMIR requirements and other markets / trading related matters
- Supporting a range of regulatory change projects and business changes projects which have regulatory impacts
- Technical input with regards to the development of regulatory training (e.g. market abuse, information barriers, conflicts of interest)
- Supporting the review and ongoing maintenance of company policies and inputting into the delivery of regular Compliance Department
- Completing due diligence when the business is seeking to invest in a new market or instrument
- University degree and/or relevant industry qualification
- Minimum of 1-3 years working experience of regulatory compliance experience in institutional asset management or sell-side
- Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
- You will
o Be a self-starter, high levels of initiative and a strong work ethic
o Able to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner
o Have strong communication skills
o Be commercially aligned with a can do attitude and pragmatic approach to provision of advice
o Be a team player, supportive, with a collegiate approach
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