Compliance Advisory – International Retail & Fundamental Equity recruitment
The position is a senior hire within the Compliance Advisory function servicing the International Retail Business and Fundamental Equity investment business, with specific responsibilities in respect of UK-domiciled fund ranges and the EMEA Marketing function. The International Retail Business works in partnership with distributor clients across EMEA, APR, Australia, Latin America and Japan. These include retail and private banks, insurance companies and financial advisor networks.
It is envisaged that the position holder will have up to 5 direct reports and be responsible for providing management support to individuals involved in servicing the above business areas, reporting to the head of the team.
The ideal candidate will be an experienced professional with a background in Compliance, Legal or other control function, with a strong understanding of investment products and services, particularly UCITS and other fund structures. Prior experience in approval of financial promotions is essential. A highly-motivated self-starter, the successful candidate would demonstrate excellent technical skills with a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy.
Key Responsibilities for this role would include:
• Working with the head of the team to provide qualitative compliance advice and support to the Business including advice on regulatory change.
• Provide support and input to co-ordination of activities relating to the governance of the UK fund ranges.
• Work on new product initiatives including review of fund documentation, preparation of internal investment guidelines and sign-off of sales and marketing collateral.
• Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments, business conduct and application of compliance policies.
• Oversight and liaison of third-party service providers, including transfer-agents and fund accountants.
• Manage relationships with trustees/depositories, auditors and regulators, responding to regulatory requests and other information or audit requests.
• Participation in other compliance or business-driven projects and initiatives providing timely advice on compliance matters.
• Provide input to Compliance activities relating to regulatory developments in Europe, including initiatives arising from European central supervisory bodies and national regulators.
• Provide input to regular reporting and communication on Compliance matters to senior management and corporate and/or fund boards and broader business.
• Reviewing client communications and/or financial promotions (as required) including consumer and trade advertisements, brochures, factsheets, presentations etc.
Attributes:
- Previous experience within financial services, ideally within asset management and with a background in Compliance, Legal or other control function.
- Persuasive and influential in provision of Compliance advice to a high-performing internal client base.
- Prior experience in successfully managing multiple reports.
- Ability to communicate effectively verbally and in written form at all levels of the firm.
- High standard of accuracy and excellent attention to detail;
- Self-motivated and solutions-driven with ability to use initiative and think-laterally;
- Excellent organisational skills with ability to prioritise workloads and adhere to deadlines;
- Ability to collaborate across teams/functions and work autonomously to own/progress issues with minimal supervision.
Please contact Fergus Hooley on 07725214435 or email fergus.hooley@hays.com