Compliance Advisory Manager - Institutional Asset Management

London, England, United Kingdom

My client, a Global Asset Management firm, is looking to hire a Compliance Manager into their EMEA team. The key purpose of the role is to provide advisory services to the UK & Irish regulated entities and other EMEA jurisdictions.


The role will cover the institutional business which includes UCITS & AIF fund management, portfolio & fiduciary management (pension funds etc.) and other services such as FX hedging.


Key Responsibilities:

  • Analysing regulatory developments for their business impact and advising senior management within the EMEA team appropriately
  • Maintaining and updating the compliance framework for all policies and procedures
  • Delivering training to the relevant stakeholders within the EMEA business
  • Dealing with regulatory queries and providing technical regulatory guidance globally to the firm’s Group entities
  • Reporting and investigating any regulatory breaches and resolving in a timely manner
  • Working with the Product Management team in developing new or restructuring existing products
  • Overseeing the quality of compliance advisory support given by third party advisers
  • Preparing reports to the various EMEA boards and Board committee meetings


Skills & Qualifications:

  • Direct experience working in advisory compliance in the asset management sector
  • A strong understanding of UCITS and AIF (Irish funds) is essential, as well as being able to digest and translate complex new regulation into business requirements
  • Excellent EU regulatory knowledge (e.g. MiFID, EMIR, AIFMD) and good knowledge of FCA rules (COLL, FUND, PRIN, SYSC, COBS etc.)
  • Educated to degree level and relevant, additional qualifications are beneficial (IMC, CISI, ICA etc.)
  • Cross-jurisdictional regulatory knowledge is preferable (i.e. Ireland) and experience of Central Bank of Ireland’s implementation of UCITS
  • Report-writing and policy writing skills and an awareness of securities trading, fund administration and handling of regulatory breaches is advantageous
  • First-rate interpersonal and communication skills, with an ability to communicate to senior level and across multiple locations
London, England, United Kingdom London England GB