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Compliance Advisory Manager (Asset Manager)

Finance Network
London, United Kingdom
£90k - £105k
Closing date
Apr 7, 2023

View more

Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The role

The Compliance Advisory Manager will provide an expert advisory service to ensure the company complies with all relevant legislation rules and regulation and codes of conduct. The role will also be responsible for the delivery and improvement of critical elements of the compliance framework that is in place to manage the regulatory risks.

Understanding of Public Markets (trading and portfolio management activities and funds), private equity and reals assets is essential, as well as knowledge of occupational pension schemes.

The person

The ideal candidate will have demonstrable experience of successfully engaging with a wide range of stakeholders to deliver the compliance advisory service to the business. You will have the ability to act as a lead for compliance related considerations to investment transactions as well as deliver regulatory analysis and pragmatic interpretation of regulations in business as usual and to change projects.

My client is looking for someone who will take ownership and assist the Director of Compliance to drive the compliance agenda. Someone who thrives on executing and implementing regulatory horizon scanning projects. Effective interpersonal and relationship building skills are essential to enable you to act as a credible partner to our stakeholders to strengthen the control environment. Being a team player is vital, we need someone who will collaborate with all levels in the business and can support the wider Compliance team, ensuring they are able to add value to business objectives.

  • Responsible for the provision of compliance advisory service across the investment business including a programme of routine engagement with key managers.Input of compliance related considerations to the Public Markets, Private Markets or Real Assets transactions in advance of investment committee decisions.
  • Maintain close liaison with the trading team (FIT) to ensure appropriate execution arrangements are (a) maintained; (b) documented; and (c) operate with appropriate consideration to market abuse regulations.
  • To perform regulatory horizon scanning and deliver appropriate reporting to stakeholders.
  • Deliver regulatory analysis on the proper interpretation and application of legislation, regulations and policies into business projects and where relevant, act as a member of associated working groups.
  • To support the Compliance programme of monitoring. In particular with the review and definition of monitoring objectives and ad-hoc specialist or deep dive reviews.
  • Support the Compliance Director overseeing the operation of the Compliance Team by providing cover and operating as 'four eyes' support to compliance procedures and regulatory returns where necessary.
  • Support in the handling of breaches and reporting to Risk (if relevant) to analyse the causes and ensure that remedial action is taken when necessary.
  • To provide advice and guidance on regulatory projects
  • Provide oversight and mentoring of junior members of the Compliance Team.
  • To draft Compliance policies and procedures

The company offers a very wide range of benefits including bonus and DB pension scheme

Please apply by submission of CV in the first instance, thank you

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