Alternatives Advisory : Deputy Head of Compliance recruitment

Taking Compliance Advisory responsibility for the Alternative Investment, GMSG and SAE business areas. Working in partnership with the various business areas to provide timely and proactive regulatory advice on day to day issues. Being part of the decision making process for these businesses.

Preparing for, participating in and presenting to relevant board meetings, strategy and product committees. Ensure that regulatory compliance issues are properly escalated to the appropriate boards and committees.

Partnering with the business on  business lead and/or compliance focused projects, including for example business initiatives, compliance monitoring projects and new regulation. This can include working as part of a larger working party or a small focus group to achieve a project goal.

Ensuring that the compliance team is proactive in providing accurate and timely advice to these and other business areas;

Leading new product initiatives from a compliance perspective and taking responsibility for providing regulatory compliance sign off for product launches and product changes, including the review of fund documents and key risk factors, the production of internal Fund Manager Guidelines, which set out the regulatory, mandate and internal restrictions that Portfolio Managers must adhere to.

Keeping abreast of regulatory developments that impact the business areas and working with the business to implement and educate on regulatory change. Responsible for providing support to the relevant business areas on regulatory matters including advising on eligibility of instruments against the fund or mandate restrictions, business conduct, interpretation of current regulation and application of compliance policies e.g. conduct of business, dealing and managing, allocation/execution, inside information and short selling.

Liaison with a wide variety of business units, external parties, third party providers, Auditors, Trustees, Boards and regulators with regards to processes, policies or breaches.

Representing the Compliance team at client or trustee due diligence visits.

Responsible for  co-ordination of routine or ad-hoc regulatory reporting, for instance, FSA Hedge Fund survey, AIFMD reporting and input to industry best practice e.g. Hedge Fund Standards Board.

Co-ordinating with other members in the team, ensuring that issues and activities are being properly identified and resourced.

Review of a wide range of financial promotions (incl. Advertisements /brochure-ware /internet /presentations etc.).

May be required to work on across other compliance projects and initiatives and with other compliance teams (Firm wide or business units training, procedures embedding etc.).

Knowledge/Experience:

We are seeking an experienced compliance professional with a good working knowledge of asset management activities and operations, which should ideally include knowledge of COBS, trading processes, instrument and market risks, regulatory reporting, AIFMD, HFSB standards, private placement and marketing rules.  

The ideal candidate would have relevant compliance experience, excellent communication skills, and a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy. 

• Previous experience within Asset Management and within Compliance or other control function.

• Strong Interpersonal skills

• Strong written and oral communication skills

• High standard of accuracy and excellent attention to detail

• Ability to prioritise workloads and adhere to deadlines

• Excellent organisational skills

• Collaborative team player

• Ability to work on team projects and also work autonomously

For a full and detailed briefing please email fergus.hooley@hays.com or call him on 07725214435