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THE COMPANY:

Our client is a leading asset management firm and a provider of global investment management

THE RESPONSIBILITIES:

• Work in partnership with the various business areas to provide timely and proactive regulatory advice on day to day issues.
• Prepare for, participate in and present to relevant board meetings, strategy and product committees.
• Ensure that regulatory compliance issues are properly escalated to the appropriate boards and committees.
• Partner with the business on business lead and/or compliance focused projects, including for example business initiatives, compliance monitoring projects and new regulation.
• Ensure that the compliance team is proactive in providing accurate and timely advice to these and other business areas;
• Lead new product initiatives from a compliance perspective and take responsibility for providing regulatory compliance sign off for product launches and product changes.
• Keep abreast of regulatory developments that impact the business areas and work with the business to implement and educate on regulatory change.
• Responsible for providing support to the relevant business areas on regulatory matters including advising on eligibility of instruments against the fund or mandate restrictions, business conduct, interpretation of current regulation and application of compliance policies.
• Liaise with a wide variety of business units, external parties, third party providers, Auditors, Trustees, Boards and regulators with regards to processes, policies or breaches.
• Represent the Compliance team at client or trustee due diligence visits.
• Responsible for co-ordination of routine or ad-hoc regulatory reporting, for instance, FSA Hedge Fund survey, AIFMD reporting and input to industry best practice.
• Co-ordinate with other members in the team, ensuring that issues and activities are being properly identified and resourced.
• Review of a wide range of financial promotions (incl. Advertisements /brochure-ware /internet /presentations etc.).
• May be required to work on across other compliance projects and initiatives and with other compliance teams (Firm wide or business units training, procedures embedding etc.).

EXPERIENCE REQUIRED:

• Relevant compliance experience
• Previous experience within Asset Management and within Compliance or other control function
• A good working knowledge of asset management activities and operations
• Knowledge of COBS, trading processes, instrument and market risks, regulatory reporting, AIFMD, HFSB standards, private placement and marketing rules

For further information please contact Spencer Evans at spencer.evans@complianceprofessionals.co.uk

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