Compliance Investment Advisor
Opportunity:
Role Responsibilities:
· To provide advice across all areas of the business, both on a day to day basis and in the interpretation and implementation of regulatory change as relevant.
· Assisting in the delivery of regulatory change.
· Engagement on projects as required to provide regulatory input and guidance where appropriate.
· To assist in the delivery of training to staff on regulatory matters.
· To undertake marketing reviews.
· To assist in any registration requirements as they apply to distribution activities.
· Maintenance of group wide policies and reporting.
· Provision of transactional and product regulatory advice to the front office.
· To support the team members in the preparation of regulatory filings resulting from our registration with SEC and an offshore Registered investment adviser.
What we are looking for:
· An asset Management Compliance background
· Degree or equivalent level of qualification together with IMC or Securities Institute Diploma.
· Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based Fund Manager.
· Product regulatory knowledge (covering a variety or regulated and unregulated collective investment schemes) - especially from the perspective of investment Compliance.
· Experience of derivatives, client money, UCITS, fund distribution issues would be desirable.
· Self starter, high levels of initiative and a strong work ethic.
· Ability to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner.
· Strength of character that enables effective communication across all levels of the organisation.
· Commercially aligned, can do attitude and pragmatic approach to provision of advice.
· Team player, supportive with a collegiate approach.
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