Responsibilities:
- Lead and develop the Investment Advisory Compliance team, setting development goals and annual objectives.
- Provide practical guidance to the company's investment teams in Equities and Fixed Income on interpreting and applying regulatory requirements, industry codes, and internal policies.
- Perform detailed analysis, interpretation, and practical application of new regulatory requirements affecting the company's investment activities.
- Collaborate with stakeholders to implement relevant regulatory requirements for the company's investment activities.
- Advise on significant business projects and changes.
- Maintain and update the compliance policies and procedures manual to align with evolving business practices and regulations.
- Support the accuracy of the Regulatory Compliance Management system for covered business areas and participate in compliance risk assessments.
- Conduct risk-based compliance monitoring reviews, ensuring that identified issues are addressed and recurrence risks are mitigated.
- Represent Compliance in fund and product launches, including new product development, fund setups, and investment management agreement negotiations.
- Develop and oversee compliance training programs for company employees, ensuring timely completion of required training.
Skills:
- Extensive experience in asset management compliance, with a strong emphasis on investment compliance.
- A minimum of 1 year of experience managing others in a regulatory role within financial services.
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.