Advisory Compliance
This position is within the Compliance Advisory function
The Compliance Advisory function is responsible for providing qualitative compliance advice to the various business divisions in within the EMEA region.This role is to service the Multi Asset, Client Solutions, Financial Markets Advisory and Scientific Active Equity businesses
Key Responsibilities:
Working with the head of the team to provide qualitative compliance advice and support to the outlined business areas and respective support functions.
Working on new product initiatives and other important business projects providing timely advice on compliance matters.
Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments and application of�compliance policies e.g. allocation/execution, inside information and short selling
Providing input where required on compliance matters to relevant business, strategy and product committees
Ensure that regulatory issues are properly escalated within the department.
Reviewing client communications and/or financial promotions (as required) including brochureware, factsheets, presentations etc.
Working on specified compliance projects and initiatives, including for example new regulations.
Liaison with other business units, and external parties such as transfer agency and other third party providers, auditors, trustees and regulators.
Knowledge/Experience:
Strong communication skills and ability to articulate complex situations.
High standard of accuracy and excellent attention to detail;
Ability to prioritise workloads and adhere to deadlines;
Excellent organisational skills;
Ability to collaborate across teams/functions and also autonomously with minimal supervision.
Experience of Collective Investment Schemes
Excellent knowledge of investment products and services, including mutual fund structures and portfolio management activities
The ideal candidate would have excellent interpersonal skills, and a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy.
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