Job Overview

Compliance Manager

Location: London Salary: £Competitive
Type: Permanent Contact: Chris Hodiak
Posted: 9 months ago

A Global Asset Management firm is looking to hire a Compliance Manager into their EMEA Compliance team. The purpose of the role is to support the Director of the EMEA Compliance function with regulatory oversight of the firm’s activities in various jurisdictions.

Key responsibilities

  • Analysing the impact of regulatory developments and translating into necessary process change requirements for the EMEA businesses
  • Providing technical advice to and dealing with regulatory inquiries from the EMEA businesses and the wider global team
  • Oversight of the compliance advisory services supplied by third party consultants, to offices in EMEA
  • Maintaining the EMEA compliance framework and advising on the drafting/updating of policies and procedures
  • Delivering regular training to employees within EMEA, focusing on new regulation and the compliance framework
  • Working with the Product Development team, assisting with new product development (focus on those which are for retail intermediated distribution)
  • Producing regulatory reports to various Board committees and management
  • Advising on conflict of interest registers for the firm’s regulated entities

Skills & qualifications:

  • Educated to at least degree level and other formal professional qualifications preferred (IMC, CISI, ICA etc.)
  • Extensive experience (at least 5-7 years) of working in a senior compliance role within a regulated Asset Management firm
  • Strong understanding of intermediate retail distribution and working knowledge of FCA rules (PROD, SYSC, PRIN, COBS etc.)
  • Proficient in digesting complex, emerging regulation (i.e. Asset Management Market Study) and good knowledge of EU Directives (MiFID II is essential)
  • High level of interpersonal and influencing communication skills, to all stakeholder levels
  • Previous exposure to report writing and drafting new policies/procedures
If you are interested in this role please apply below or contact me for more information.