Compliance Advisory Manager, Investments
Salary £105,000 - £125,000 per annum + discretionary bonus
Location London
FULL_TIMEConsultant Megan Craighead
JobRef 50798933/001
Date posted 08 June 2022
london banking-financial-services/compliance 2022-06-08 2022-08-07 banking London London 1 Bread Street GB EC4M 9BE GBP 105000 125000 125000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A leading global investment manager is looking for an experienced compliance professional to head up their investments advisory team. You will need strong MiFID and UCITS knowledge as well as management experience. Fixed income knowledge is also critical. This role is based in the City of London and will be in the office two days/week.
Key Responsibilities
-
Manage the provision of primarily advisory compliance services by the investments focused compliance team in support of the EMEA & APAC investment, trading and research teams and related support functions, including back and middle office functions whether provided in-house or outsourced.
- Lead the delivery of appropriate investments compliance services to meet current and anticipated future business needs.
- Assist in developing and creating investments compliance related policies and procedures as needed.
- Proactively engage with key business, functional and investments and trading team and market facing support function heads to establish a collaborative working relationship and understanding of the business and to develop and maintain a robust compliance culture.
Key Requirements
-
Leadership skills – demonstrable skills and experience of leading all or part of a compliance team are preferred.
-
Experience of being the key / lead advisor to the investments and trading teams on some or all directly related compliance subjects.
-
Experience of investments and trading elements of asset management products preferably including all of UCITS, AIFS, and segregated account capabilities.
-
Knowledge of equity and fixed income instruments, including derivatives, and various investment strategies. Knowledge of Multi-asset investing would be preferred.
-
Subject matter expert / knowledge of Asset Management products / services and risks associated.
-
Experience of ESG aligned investment activities would be preferred.
-
Strong understanding of FCA, and an understanding of European / US SEC regulatory requirements and how these apply to investment management activities. Knowledge and experience of APAC regional regulations, particularly Singapore MAS requirements preferred
Get in touch
Similar jobs
-
Salary: £110,000 - £130,000 per annum + Competitive bonus scheme and fund carryLocation: LondonDate posted: 21 June 2022This is a newly created Compliance Officer role that will become the SMF 16/17 and build out the compliance programme for a rapidly growing commodities investment firm. This will be four days a week in their London offices near Hyde Park.
-
Salary: £500 - £700 per dayLocation: LondonDate posted: 20 June 2022A leading investment bank is looking for an experienced contractor to join the Compliance Investigations team for a well paid four month contract based in London. This is part of a global team that looks after control remediation, disciplinary proceedings, supervision failures, and regulatory interaction.
-
Salary: £105,000 - £125,000 per annum + discretionary bonusLocation: LondonDate posted: 13 June 2022A leading global investment manager is looking for an experienced compliance professional to head up their investments advisory team. You will need strong MiFID and UCITS knowledge as well as management experience. Fixed income knowledge is also critical. This role is based in the City of London and will be in the office two days/week.
-
Salary: £80,000 - £110,000 per annumLocation: LondonDate posted: 04 June 2022Based in London, a leading global investment bank are looking to hire experienced compliance professionals to join their surveillance function.
-
Salary: NegotiableLocation: LondonDate posted: 19 May 2022A leading, global Asset Manager is seeking a Risk Analytics Project Manager to help support and manage a portfolio of change initiatives across an experienced IT and Change Management group. You will support the Risk Analytics Programme Manager and manage the delivery of change initiatives which will enable the organisation to achieve its desired growth and operational transformation outcomes.
