Senior Compliance Advisor - Asset Management
Our client is seeking a Senior Compliance Advisor to join their dynamic team. This role offers the opportunity to work within a highly technical team that is respected across the business and partners with multiple colleagues on key regulatory matters. The successful candidate will act as a trusted advisor, providing timely, sound and pragmatic advice on a variety of regulatory matters. This role is perfect for a professional individual looking to take the next step in their career.
* Opportunity to work with a highly technical team
* Act as a trusted advisor on regulatory matters
* Ideal for a professional individual looking to advance their career
What you'll do:
As a Senior Compliance Advisor, your role will be pivotal in supporting the business on changes to the UK and EU retail investor protection agenda, ESG, revisions to the AIFMD, capital markets regulation. You will be working closely with various teams including Product Management and Client Portfolio Management teams on matters regarding OFR, SDR, SFDR and its application to funds. Your proactive approach will be essential in working with Sales and Product Teams on the implementation of new regulations. You will also be responsible for managing the internal regulatory horizon tracker and completing initial analysis of new regulations that are likely to have a material impact.
- Provide advice and guidance on regulatory changes such as UK and EU retail investor protection agenda, ESG, revisions to the AIFMD, capital markets regulation.
- Work closely with Product Management and Client Portfolio Management teams on matters regarding OFR, SDR, SFDR and its application to funds.
- Proactively work with Sales and Product Teams on the implementation of new regulations.
- Manage the internal regulatory horizon tracker and complete initial analysis of new regulations.
- Maintain relevant documents and reports.
- Participate or lead presentations on regulatory changes to business units.
- Keep Compliance policies and procedures up to date.
- Liaise and interact with industry trade bodies, consultants and external auditors.
- Provide input into Compliance reports to various boards and committees.
What you bring:
The ideal candidate for this Senior Compliance Advisor role will bring strong knowledge of AIFMD and AIFMD 2, MiFID 2, UCITS along with good understanding of Conflicts of Interest, Cost transparency, COBS and Wholesale Conduct. Your solutions-oriented mindset coupled with your proactive approach and excellent communication skills will be key to your success in this role. Your ability to positively engage with and influence senior stakeholders, while maintaining a degree of independence, will be crucial. This role is perfect for someone who can focus on core responsibilities but also remain sufficiently flexible to deal with new issues or priorities.
- Strong knowledge of AIFMD and AIFMD 2, MiFID 2, UCITS
- Good knowledge of Conflicts of Interest, Cost transparency, COBS and Wholesale Conduct
- Solutions orientated mindset
- Proactive with good communication skills (writing and oral)
- Ability to positively engage with and influence senior stakeholders
- Ability to balance the need to maintain independence with building strong internal client relationships
What sets this company apart:
Our client is a leading global firm that values diversity, inclusivity and fosters a supportive work environment. They are committed to providing their employees with flexible working opportunities and generous pensions contributions. They believe in nurturing the growth of their employees through extensive training opportunities. Their commitment to their employees' well-being and professional development makes them an employer of choice.
What's next:
Please get in touch with Emily Hamburg on emily.hamburg@robertwalters.com
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
