Responsibilities:
- Serve as the primary contact for Compliance matters, providing timely and accurate regulatory advice and support to the company's Global Business Development, Marketing, and Investment Teams.
- Offer guidance on Environmental, Social, and Governance (ESG) considerations and the global distribution of products and services.
- Advise on financial promotions for global distribution, including presentations, factsheets, white papers, website content, and other communications to prospects and investors.
- Provide counsel on general queries related to Requests for Proposals, ensuring that Compliance department standard responses are up-to-date.
- Collaborate with relevant business teams on new initiatives and projects.
- Maintain and update relevant sections of the departmental procedures manual.
- Advise on the implementation of regulatory developments across the firm.
- Assist in the development and maintenance of robust compliance control procedures for the company.
- Coordinate with global offices to ensure consistency in compliance standards.
- Provide ongoing support to maintain the accuracy of RCM for covered business areas and participate in compliance risk assessments.
- Conduct Compliance Monitoring for relevant business areas as needed.
- Stay informed of key regulatory initiatives and update business stakeholders accordingly; attend working and steering groups as required.
- Undertake project work and provide guidance to the business and senior management as needed.
- Collaborate with the Compliance team to manage the company Compliance training schedule, draft training materials, and conduct face-to-face training when appropriate.
- Review and create Compliance policies as needed.
- Assist in compiling and documenting Compliance Management Information for quarterly and monthly Board and Committee reports.
- Provide support to the company and the business in addressing issues identified through Compliance Testing, Internal Audit, and external regulatory reviews.
- Assist the Compliance Testing team in annual planning activities.
- Collaborate with the Compliance team and other stakeholders on various projects as required.
Skills:
- Extensive experience in the financial services industry, with a strong understanding of the Asset Management sector.
- Extensive experience in a role requiring in-depth knowledge of UK, EU, and SEC regulations and legislation relevant to Asset Management.
- Familiarity with ESG requirements and standards.
If interested, please apply. Alternatively, email
In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.