Head of Compliance Advisory

Location: London, England, United Kingdom

Salary: £100-120K

The purpose of this role is to undertake second line assurance activity in the form of management of compliance advisory services.

Main purpose of role:

The purpose of this role is to undertake second line assurance activity in the form of management of compliance advisory services.

To provide regulatory advice and oversight support to the Asset Management business and assist the Head of Compliance in ensuring that the regulated firm, its employees and key stake holders all conduct their business in accordance with the relevant regulations and standards.

Key Responsibilities and Scope of role

  • Provide lead compliance advisory support and guidance to the Asset management business in relation to all regulated corporate/business activities and ensure that such regulations are effectively integrated to the business with particular focus on FCA/CBI/ UCITS/AIF ,money laundering/financial crime regulations and industry best practice
  • Provide best market practice compliance advisory and oversight services on a risk basis to the front office and dealing teams. Manage, review and maintain relevant compliance policies in accordance with the Asset management business and Group policy requirements
  • Manage compliance registers and analytics
  • Manage regulatory training and development across the Asset management business in accordance with best market practice
  • Produce all required regulatory reporting for MA and ensure it follows all Asset management and Group risk processes and standards to support quality submissions
  • Work closely with the central Risk team and build strong relationships throughout the Asset management business and the wider Group
  • Forge strong links with external relationships such as depositories and outsource providers
  • Identify any concerns or issues promptly and escalate through the Compliance team to resolve and support root cause analysis to prevent any reoccurrence
  • Assist with the production of risk management information for relevant committees and boards as required
  • Keep abreast of all relevant regulatory asset management market changes in accordance with best market practice
  • Provide best market practice support and guidance for all relevant project initiatives within the business and ensure qualitative and exemplary delivery
  • Manage, support and develop the Advisory Compliance team to ensure team objectives are met

 

Experience required:

  • Senior experience in a compliance and/or regulatory support role in the UK
  • Extensive experience of asset management/investment management
  • Strong knowledge of investment products and instruments including derivatives
  • Strong knowledge of investment lifecycles

 

Specific technical competencies

  • Expert knowledge of FCA/CBI/UCITS/AIF/CASS regulations
  • Expert knowledge of derivatives and their usage
  • Senior experience of working in a front office compliance advisory role
London, England, United Kingdom London England GB