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Senior Compliance Advisory Officer, Investment Management

Hays Financial Markets
London, United Kingdom
Closing date
Feb 8, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Dynamic and ever growing global investment management firm seeks a senior advisor within its UK compliance team. With offices in London and the US, its active strategies span the full range of global regions and asset classes with a long term and ESG focus. The purpose of the role is to provide compliance and regulatory support to the business as directed by the Head of UK Advisory and Global CCO and to assist in mentoring the compliance advisory team. The role's context covers both FCA and SEC requirements, as well as UCITS rules and the US 40 Act, working collaboratively with internal legal teams where necessary. Furthermore the incumbent will assist with the implementation of regulatory development projects and facilitate impact risk assessments. Candidates are sought with at least 8 years' compliance experience gained primarily within the asset/fund management sector, encompassing distribution advisory matters and working knowledge of UCITS.

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