Overview
Our client, a respected and well-established UK headquartered investment management firm, is looking to hire a Compliance Advisory Manager for a 6-month fixed-term contract.
We are keen to speak to suitable and available candidates ASAP!
Key Responsibilities
Compliance Advisory:
- Provide guidance on policies and procedures, representing Compliance in business projects requiring input.
Regulatory Implementation:
- Partner with the wider compliance team to integrate regulatory policy changes affecting in-scope jurisdictions, which may include new rules or shifts in regulatory expectations.
- Share knowledge and expertise to aid the Regulatory Compliance Manager in creating implementation plans and assessing impacts on the firm.
- Ensure policies and procedures comply with regulatory standards, updating them as necessary.
- Support the implementation of regulatory changes in collaboration with Compliance and business teams.
Regulatory Reporting:
- Assist with ensuring all compliance reports are completed and submitted punctually, including supporting required registrations and firm-level documentation.
Leadership in Compliance Activities:
- Approving financial promotions and conducting monitoring.
- Handling Senior Management Function (SMF) FCA applications.
- Coordinating conflict-of-interest management.
- Overseeing compliance for funds in relevant jurisdictions (e.g., Prospectus reviews, due diligence, KIID reviews).
Collaboration with Compliance Monitoring:
- Work closely with the Compliance Monitoring team to keep them informed of policy and procedure updates, facilitating adjustments in their monitoring program.
Business Support:
- Assist in developing and delivering compliance training.
- Help business areas maintain compliant systems, procedures, and controls.
Additional Responsibilities:
- Handle any other compliance-related tasks required to fulfill the firm’s obligations.
Skills, Knowledge & Experience
- Excellent work ethic and attitude
- Good communication skills
- An eye for detail
- A sense of initiative
- Able to work independently and exercise good judgment
- Have an interest in markets
