Contract Compliance advisory recruitment

The role sits within the Compliance Advisory function servicing a number of investment and advisory business areas within EMEA, including Alternatives, Private Equity and Real Estate.

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.

Key responsibilities will include:

• Working within a team to provide qualitative compliance advice and support to the Business including advice on regulatory change.

• Working on new product initiatives including review of fund documentation, preparation of internal investment guidelines and sign-off of sales and marketing collateral 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, business conduct and application of compliance policies e.g. allocation/execution, inside information and short selling.

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

• Reviewing client communications and/or financial promotions (as required) including consumer and trade advertisements, factsheets, presentations etc.

• Where required, participation in other compliance or business-driven projects and initiatives.

• Liaison with other business units, fund boards and external parties such as transfer agency and other third party providers, auditors, trustees and regulators.

Please only apply if you have a minimum of 3-4 years relevant experience within Compliance or other control function, with a prior knowledge of investment products and services, including traditional mutual fund structures and/or alternatives products, and portfolio management activities.

This is an exciting opportunity in a high profile function within a top tier asset management firm, if you have any further questions please call me on 0203 145 3369 or send your CV to emma.finch@bruinfinancial.com