Job Overview

Compliance Advisory Manager - Institutional Asset Management

Location: London Salary: £Competitive
Type: Permanent Contact: Chris Hodiak
Posted: 10 months ago

A global Asset Management firm, is looking to hire a Compliance Manager into their EMEA team. The key purpose of the role is to provide advisory services to the UK & Irish regulated entities and other EMEA jurisdictions.

The role will cover the institutional business which includes UCITS & AIF fund management, portfolio & fiduciary management (pension funds etc.) and other services such as FX hedging.

Key responsibilities

  • Analysing regulatory developments for their business impact and advising senior management within the EMEA team appropriately.
  • Maintaining and updating the compliance framework for all policies and procedures.
  • Delivering training to the relevant stakeholders within the EMEA business.
  • Dealing with regulatory queries and providing technical regulatory guidance globally to the firm’s Group entities.
  • Reporting and investigating any regulatory breaches and resolving in a timely manner.
  • Working with the Product Management team in developing new or restructuring existing products.
  • Overseeing the quality of compliance advisory support given by third party advisers.
  • Preparing reports to the various EMEA boards and Board committee meetings.

Skills & qualifications

  • Direct experience working in advisory compliance in the asset management sector.
  • A strong understanding of UCITS and AIF (Irish funds) is essential, as well as being able to digest and translate complex new regulation into business requirements.
  • Excellent EU regulatory knowledge (e.g. MiFID, EMIR, AIFMD) and good knowledge of FCA rules (COLL, FUND, PRIN, SYSC, COBS etc.)
  • Educated to degree level and relevant, additional qualifications are beneficial (IMC, CISI, ICA etc.)
  • Cross-jurisdictional regulatory knowledge is preferable (i.e. Ireland) and experience of Central Bank of Ireland’s implementation of UCITS.
  • Report-writing and policy writing skills and an awareness of securities trading, fund administration and handling of regulatory breaches is advantageous.
  • First-rate interpersonal and communication skills, with an ability to communicate to senior level and across multiple locations.
If you are interested in this role please apply below or contact me for more information.