Compliance Advisory : Asset Management recruitment
Our client is one of the world’s leading asset management firms based in the heart of the City of London
Role Description
The position is within the Compliance Advisory function servicing four dynamic, interesting and distinct investment and advisory business areas within EMEA. The Compliance Advisory function is responsible for providing qualitative compliance advice to the various business divisions in respect of activities, products and services within the EMEA region. The ideal candidate will have a minimum of 3-4 years relevant experience within financial services, ideally within Compliance or other control function, with a prior knowledge of investment products and services, including mutual fund structures and portfolio management activities.
KEY RESPONSIBILITIES
- Working with the head of the team to provide qualitative compliance advice and support to the Business.
- 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.
- Provide support and input to co-ordination of Compliance activities relating to regulatory developments in Europe, including initiatives arising from European central supervisory bodies and national regulators.
- Participate in other compliance projects and initiatives.
- Liaison with other business units, and external parties such as transfer agency and other third party providers, auditors, trustees and regulators.
Attributes:
- Previous experience within financial services, ideally within asset management and with a background in Compliance or other control function.
- Good interpersonal skills.
- 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.
- Self-motivated with ability to use initiative.
- Please contact Fergus Hooley on 0203 465 0110 or email him fergus.hooley@hays.com