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Job Overview

Upstream Compliance Risk - WM

Location: London Salary: Competitive
Type: Permanent Start Date: ASAP
Posted: 12 days ago Contact: Liam O'Mahoney

A large Investment Manager is currently looking to make an experienced hire in the regulatory developments space.  This role assists the organisation in managing regulatory risks.

 

The job functionally sits within market compliance and reports to the Head of Regulatory Compliance for the Wealth Management line of business.

 

Key Responsibilities;

  • Providing advice and guidance to the business and compliance in respect of ongoing and new regulation which may impact the UK (or potentially Asia) business.
  • Undertake horizon scanning and initiation of change projects
  • Work and drive committees dedicated to regulatory developments.
  • Assist the team in other compliance tasks; financial promotions, compliance reviews, thematic reviews and reporting.
  • Build strong relationships with stakeholder across the organisation both here in the UK and abroad.

 

Key Skills;

  • Minimum 5 years of experience within compliance
  • Knowledge of FCA handbook
  • Exposure to SFC and PRA desirable
  • Practical exposure to EMIR, MiFID2 and MAR
  • Proven experience of working across teams and able to contribute to the strategic direction of a business
  • Excellent written and verbal communication skills
  • Essential to be a team player as you work in a closed environment