I am currently recruiting a compliance advisory manager for a financial services firm based in London.
The purpose of this role is to provide professional and timely compliance advice to the investment management business, ensuring that the business understands its regulatory and legislative responsibilities.
Key responsibilities
- Provide transactional and product regulatory advice to the investment management business
- Regulatory rule interpretation including with UK and non-UK requirements
- Supporting other projects (e.g. MIFID II)
- Provide effective oversight of direct reports
Reporting into the director of compliance advisory, the ideal candidate requires;
- Experience of delivering compliance advice within asset management
- Product regulatory knowledge
- Knowledge and awareness of US, UK and European regulatory environment and their impacts
- Experience of AIFMD, UCITS, US1940s Act
- Derivatives knowledge and experience
- ICA / CISI qualification
- IMC / IOC investment management qualification
