Compliance Advisory Manager

London, England, United Kingdom

My client, a leading Asset Services firm, is looking for a Compliance Advisory Manager based in London. The role sits within their Funds business, who offers traditional and alternative funds in various jurisdictions including the UK and Ireland. The business manages over £80bn AUM and supports 100+ investment managers.


Key Responsibilities:

  • Providing advice to the business on regulatory matters and promoting an effective compliance culture
  • Offering guidance on new &  existing funds, liaising with the Product team and responsible for sign-offs/approvals
  • Scoping out new regulatory developments in the market, and assisting with the appropriate implementation of new policies and procedures
  • Reviewing new projects related to new business initiatives and completing the required regulatory reports
  • Working with senior management to constantly develop the compliance training programme for the UK business
  • Producing MI for governance committees and escalating issues where necessary


Experience Required:

  • Educated to a degree level
  • At least 4-5 years’ experience in the Asset Management sector, ideally gained within a compliance function
  • Excellent knowledge of UK regulation (especially COLL, FUND & COBS)
  • Exposure to retail and institutional compliance issues related to fund management; understanding of marketing of funds into non-UK jurisdictions and of regulatory requirements for pension schemes would be highly advantageous
  • Strong interpersonal and stakeholder management skills
  • Proficient written and verbal communication skills
  • Collaborative and pragmatic approach