• Provide advice and guidance to the business on regulatory and compliance issues as required (eg MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance. SFDR, SMCR etc)
• Provide review and sign-off of marketing materials and provide advisory support on compliance matters relating to the firm’s distribution activities in Europe.
• Assist with the conduct of risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP).
• Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests in a timely manner.
• Maintain the core compliance regulatory registers
• Draft and update internal policies and procedures in line with regulatory developments.
• Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
• Supervision of some US Compliance activities where appropriate, such as monitoring of personal trading (no need to be a US regulatory expert), as well as supporting and liaising with Paris, Hong Kong and Singapore offices.
• Support the development and implementation of the firm’s compliance training program. Inform, advise and educate business units and senior management on all relevant compliance and AML matters.
The ideal candidate will have at least 3 years’ experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment.