Job Purpose:
- A Compliance role focused on being an advisory contact for a particular European business group. This role will also be responsible for the design and implementation of required policies and procedures, including appropriate operational and Compliance oversight.
Your Responsibilities:
- 1. Providing day-to-day European Compliance advice and guidance to a particular European business group and being their European Compliance ‘point person’
- 2. Advising on relevant policies and procedures
- 3. Working with the relevant business group to ensure matters arising on the regulatory timetable are actioned
- 4. Producing reports for senior management on Compliance advisory activities
- 5. Conducting new staff Compliance inductions and other regulatory training
- 6. Handling routine business as usual Compliance queries from the business
- 7. Assisting the planning, preparation and communication in respect of regulatory visits and periodic requests
- 8. Conducting internal inquiries and investigations as necessary
- 9. Advising the Compliance Monitoring team in respect of matters relevant to the oversight of a particular European business group
- 10. Participating in special projects and assisting with any other matters as directed by the European Compliance management team
- 11. Establishing working relationships with peers at other firms through, for example, participation in relevant trade association working groups.
Skills and Qualifications:
- Five or more years related Compliance experience in an investment management business or equivalent.
- Knowledge of FCA, DWP and HMRC rules and regulations commensurate with experience level. Knowledge and experience of UK and/or Irish UCITS (investment funds and/or ETFs) preferable.
- Excellent verbal and written communication skills and organized approach including strong persuasive and negotiation skills.
- Excellent relationship management skills (for both within a growing global Compliance function and external to Compliance).
- Excellent organizational skills, attention to detail, and ability to work independently.
- Demonstrated ability to function in a deadline oriented, fast paced and rapidly changing environment. Effectively handles multiple priorities and initiatives.
- Strong critical thinking and analytical skills.
- Ability to elicit trust and confidence and maintain composure and a positive approach in challenging situations.
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