Compliance Distribution

I am currently recruiting a Compliance Advisory Manager for a well-respected Investment Management firm based in London.  Reporting directly to the Head of Advisory this is an excellent opportunity to further your career in an exciting and collaborative environment.

Key responsibilities

• Provide clear and consistent technical advice and guidance to front office colleagues in respect of the FCA’s rules around financial promotions
• Keep on top of front office related regulatory change with regular updates to the business and formation of new policy.
• Provide compliance input into a range of projects such as the launch of new products, take on of new clients and other development initiatives.
• Aiding the rest of the team in adhoc compliance oversight activities

Key skills

• Asset management background with knowledge of FCA rules surrounding distribution and financial promotions.
• Knowledge of MiFID 2 and AIFMD
• Strong communication skills and ability to build relationships.
• Self-starter attitude with good analytical skills
• Proactive, self-supportive and motivated in the development of a positive compliance culture.
• Able to present to senior management.