Compliance Adviser recruitment
Provides high quality regulatory advice and oversight in respect of FSA, CBI, SFC and all other relevant global regulatory developments, thereby ensuring that all relevant advice/guidance provided to the business is in full compliance with all appropriate regulatory sources. This may include day to day liaison with both UK and Irish trustees, and external legal counsel.
Provides high quality money laundering advice and oversight support in respect of EU Money Laundering regulations for all areas,compliance with all of the global jurisdictional and regulatory requirements. This includes support the distribution/ institutional client onboarding process thereby providing an efficient/best market practise service for all of the group's new distributors and third party agencies.
Provides compliance advice and guidance, on a risk basis, for all aspects of overseas sales and marketing activities as per the Sales and Marketing Plans. This will be demonstrated by documented advice provided plus appropriate compliance sign offs as per the Advertising log activities.
Provide high quality compliance advisory support to the Head of Compliance in respect of all relevant projects and appropriate product developments.
The role may also be required to provide support for oversight activities allocated from the compliance monitoring programme, regulatory reporting schedule and review of the breaches registers, as well as support for other compliance activities carried out within Compliance.
Graduate calibre preferably from law, business, financial services academic background.
Proven track record of providing high quality compliance/regulatory advice and oversight support in an asset management/ investment funds environment.
Thorough understanding of CBI and FSA regulations and their application.
Working knowledge understanding of European and other overseas jurisdictions
Thorough understanding of EU Money Laundering requirements and their practical application.
Highly articulate and be capable of producing high quality written material and advices.
Empathetic to business commercial and client requirements.
Qualifications/Experience Required:
Key Result Areas and Responsibilities: