Compliance Generalist

OVERVIEW:

Our client is the largest remaining independent merchant banking group in the UK and are amongst the 200 largest companies by market capitalisation quoted on the London Stock Exchange.

The Asset Management Division is one of 3 operating divisions and offers a comprehensive range of investment management, wealth management, banking and administration services. Activities include private client wealth management and discretionary management, property funds, multi-manager (both long-only and hedge funds), structured products, fund administration, trust & corporate administration, custody and banking.

RESPONSIBILITIES:

• Act as compliance specialist and contact for UK business.
• Have compliance expertise in relation to regulations impacting UK retail funds, life funds and property funds as well as UK retail asset management business generally.
• Participation in product and business development teams to give pro active and practical compliance advice in advance of launching products and new initiatives. Hold a positive attitude, be constructive and have a team-player approach to participating in such projects.
• Keep abreast of UK regulatory developments in retail arena. Analyse papers produced by FSA and trade bodies etc; participate where required in the process to respond by the business to relevant communications and papers.
• Advise, in conjunction with unified Compliance team approach, the business promptly of regulatory changes, with sufficient lead time to make any necessary changes to systems and controls.
• Ability to analyse and present essential facts in a clear and thought out way verbally and in written form is necessary as is an ability to present facts in an objective way distinct from opinions. Must be prepared to propose solutions and to discuss levels of risk attendant on rules and regulations.
• Liaison with third party providers, as and when necessary.
• Required to carry out compliance duties in various ways for individual discretionary managed accounts.

SKILLS REQUIRED:

• Experience and knowledge, in a practical and hands on way, in review and approval of marketing and promotional materials institutional and retail on broad front will be needed.
• Broad knowledge of a wide range of securities and property, including derivatives, into which investment can be made, is an advantage.
• Broad knowledge of requirements and needs of UK asset management compliance with retail bias.
• Knowledge of institutional asst management and hedge funds is an added advantage.
• Wide knowledge of funds authorised and UCITS and non UCITS would be a clear advantage
• Some knowledge of investment in conjunction with life companies, ISA and other retail wrapper products would be an advantage.
• Ability to demonstrate willingness to keep knowledge up to date and to expand areas of expertise.
• Good research and analytical skills.
• Be able to take the initiative & focus on quality results and be credible to the business.
• Strong communication skills.
• Ability to get to grips with detail and have hands on expertise but can see wood for trees and can analyse succinctly main important issues.
• Team player with willingness to share expertise and knowledge.

For further information, please contact Spencer Evans on spencer.evans@complainceprofessionals.co.uk quoting ref Compl3828

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