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Compliance Advisor - Asset Management (12 Month FTC)

Posted 25 January by MERJE Ltd Easy Apply Ended

Our Client

Our client is a globally recognised Asset Manager and have a new requirement to hire a well-rounded Compliance specialist on a 12 month fixed-term contract.

The Role

Reporting into the Head of Compliance Advisory, you will be responsible for:

  • Supporting the Compliance Advisory Team in the maintenance of compliance policies and procedures for the business
  • Oversee queries from the business covering:

-Financial Crime

-Personal Trading

-Outside Business interests/Conflicts

-Financial Promotions approval under FCA and SEC rules

-UCITS/ Fund Compliance

-Individual registrations

  • Conduct quality assurance work for junior members of the team
  • Assist with design and delivery of compliance training to the business
  • Completion of relevant regulatory returns
  • Liaise with Compliance Monitoring and Internal Audit to deal with issues related to the Advisory Team’s responsibilities
  • Working with the Senior Compliance Manager to lead on identifying and assessing regulatory changes that impact the business
  • Attend key business committees, providing effective contributions as a representative of the Compliance Department.
  • Drafting of compliance, risk and related reports on behalf of the Compliance team.
  • Involvement in Compliance projects as appropriate

Key Requirements

  • Proven experience (5-8 years) of providing compliance advice within a UK asset management organisation
  • Excellent in-depth technical knowledge of the regulatory framework for asset management firms
  • Good understanding of EU/UK legislative and regulatory landscape.
  • Be confident in dealing with senior stakeholders
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines

Required skills

  • Compliance
  • Derivatives
  • Investments
  • Regulations

Reference: 33649377

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