Overview
A leading, globally present asset management firm is currently looking to hire a Compliance Manager to join its London office.
Key Responsibilities
- Support a Senior Compliance Manager and the Head of Product and
- Distribution Compliance to ensure the distribution business adheres to all applicable regulations, with a particular emphasis on German-speaking jurisdictions
- Provide cross-functional compliance support to maintain business continuity
- Proactively ensure the business receives training on regulatory issues and compliance policies that may affect operations
- Help foster a culture of effective regulatory risk management
- Stay updated on new regulatory changes, assess their impact on Investors, and assist in taking appropriate actions, especially for German-speaking areas
- Support efforts to promote a culture of fairness and client-centricity within the Distribution business
- Assist in reviewing and updating policies and procedures to meet the needs of Investors’ distribution teams and ensure ongoing regulatory compliance
- Perform additional duties as assigned.
Skills, Knowledge & Experience
Must have skills:
- Fluent in German and English (written and oral).
- Technical expertise in the key regulatory issues and rule areas impacting the firm’s distribution, including but not limited to:
- Systems and Controls rules
- Conflicts of Interest
- Financial Promotions and Private Placement rules
- Inducements
- TCF
- UCITS and AIFMD
- Cross border distribution
- SFDR
- MiFID II
Nice to have skills:
- Teamwork: the ability to work in multiple teams and leverage internal and external networks.
- Strong communication skills: required to represent compliance to internal and external stakeholders.
- Problem solving: ensuring complex regulation and its impact are communicated effectively ensuring practical and efficient advice if provided.
- Change management: to anticipate regulator changes or business changes having regulatory impact and to communicate issues and remedial plans to the business.
- Robust in challenging business when required yet solutions orientated.
- Efficient and organised.
Additional information & Benefits
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Excellent Health and Wellbeing benefits including corporate membership to ClassPass
- Paid volunteer time to step away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- Maternal/paternal leave benefits and family services
- Complimentary subscription to Headspace – the mindfulness app
- All employee events including networking opportunities and social activities
- Lunch allowance for use within the subsidized onsite canteen
Potential for growth
- Mentoring
- Leadership development programs
- Regular training
- Career development services
- Continuing education courses
