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Compliance Manager
Asset Management firm
£65K-£80K
London - Hybrid working
Looking to recruit an experienced Compliance Regulatory and Advisory specialist to join the Compliance team of a London based asset management firm
Main Responsibilities
- Required to undertake regulatory horizon scanning and for producing regular written and verbal updates to the business on regulatory developments, new regulations and enforcement action of relevance
- Required to analyse and interpret existing and new regulations to support the business to implement regulatory change
- Required to agree actions with the business in response to regulatory change and for overseeing the implementation of these actions to closure
- Required to provide reporting on the status of agreed actions to the Head of Compliance to support the escalation of regulatory risks to the relevant governance committees
- Required to maintain a detailed knowledge of regulatory developments through attendance at industry and trade body events and forums
- Required to provide training and guidance to the wider business on new and existing regulations
- Responsible for providing technical advice and guidance to the business on Financial Promotions and reviewing and approving content
- Required to support the Regulatory and Advisory Team Leader in maintaining and reviewing policies,departmental procedures, logs, guidelines and templates
- Required to work with the Compliance Monitoring Team to ensure the most recent regulatory developments are taken into consideration as part of monitoring reviews
- Required to provide information to third parties when requested, such as to the regulator, government authorities, external and internal auditors, Depositary or any other third-party service provider om request from the Head of Compliance
- Required to develop and maintain positive,collaborative, working relationships throughout the business
- Required to champion an effective compliance culture, helping the business to manage compliance risks within their areas of responsibility
- Required to maintain an independent mind-set taking an impartial and objective view of internal practices, whilst maintaining good relationships that permit constructive and valued challenge
Experience:
- Proven experience of interpreting and subsequently implementing regulation in a wealth and / or asset management environment.
- Proven experience of proactively engaging with stakeholders, industry bodies or networks during periods of significant new regulation and business change.
- Experienced at creating and delivering clear and concise written and verbal communications on current and upcoming regulatory developments, which can be leveraged across various stakeholder groups and varying situations.
- Proven experience of reporting and MI production to senior stakeholders
- Demonstrable strong understanding and knowledge of regulations applicable to a wealth and / or asset management environment.
- Strong knowledge of ESG and Sustainability an advantage
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to diversity, equity and inclusion. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: gb/en/privacy-notice.
