Role/ Department:

The role is for a Senior Compliance Consultant, based in London.  The individual will work within a regional Compliance team operating in a successful international Asset Management business, reporting to the Asset Management EMEA Head of Compliance.

The role is engaging, hands-on and offers excellent exposure to someone looking to develop their career in an asset management-based compliance role. The role will be supporting the Head of Compliance in providing technical research and consultation on regulatory matters to support compliance programs and activities focusing on EMEA.  The individual may be asked to support the wider compliance team as necessary and act as a partner to both Compliance team members and managers and staff in the business units.

The key responsibilities of the role include:

  • Support the department in the identification, planning and execution of the department’s activities
  • Analyse and provide technical research and consultation to support risk and compliance programs and initiatives including ESG
  • Provide timely and accurate regulatory and compliance advice to business partners
  • Work proactively and collaboratively to identify and implement practical and efficient client-centred solutions
  • Further develop the function’s compliance monitoring program and management information dashboards
  • Support regulatory enquiries and examinations
  • Develop and maintain compliance frameworks and related policies and procedures
  • Develop and implement training programs with subject matter experts
  • Provide project support as required
  • Provide back up support to the wider compliance team as and when required,  e.g. review of marketing materials, monitoring activity
  • Attendance and reporting to relevant committees, boards, working groups and forums

Knowledge / Skills:

  • Knowledge of FCA client money rules
  • Prior experience of fund structures including UCITS, ETFs, AIFs
  • Exposure to cross-border regulatory frameworks and rules
  • Understanding of investment management products and services and  knowledge  of securities, cash and derivatives market instruments
  • Analytical ability to identify and understand problems and provide effective collaborative solutions
  • Highly motivated individual who has a proven record of using initiative and influence to resolve problems
  • Excellent verbal and written communication skills
  • Excellent organisational and analytical skills

Source: for more information click here.