Legal and Compliance Manager
Legal and Compliance Manager needed to join Leading Investment Management Firm due to continued growth and strong performance
Role Details
* Excellent opportunity to join legal and compliance teams in newly created role as part of a leading investment manager, with a focus on assets across all classes.
* You will work closely with the Senior Lawyer on the legal side as well as assisting the Head of Compliance on compliance and regulatory related matters.
* Provision of general legal advice/ general legal and company secretarial support and deputising for the Head of Compliance.
* On the legal side you will work closely with the Sales and Marketing teams, as well as the Product Development team on marketing and distribution matters.
* Review and negotiate distribution agreements and other related documents for a variety of UCITS funds. Work closely with internal customers and stakeholders.
* Provision of legal training on marketing and distribution related topics e.g. UCITS V, AIFMD, RDR, Bribery Act, etc.
* UCITS and Non-UCITS registration process.
* Distributor due diligence take-on process.
* As and when required, attend client meetings.
* Keeping abreast of regulatory developments.
* On the compliance side, supporting the Head of Compliance in providing relevant advice and regulatory support to the business.
* Supervise the Compliance Assistant.
* Oversee the compliance monitoring program.
* Ensure the firm complied with relevant UK and European regulatory requirements and company policies and procedures.
* Development of company policies and procedures.
* Providing compliance advice.
Skill Set Required
* UK Qualified Lawyer with proven senior level legal experience working in the investment management industry.
* Funds layers looking to move in house will be considered.
* Generalist relevant asset management legal experience.
* Compliance experience gained in asset management - sufficient level of experience to be able to competently support the Head of Compliance.
* Good understanding of the regulatory industry.
* Knowledge of applicable FCA and European regulations.
* Strong team player.
* Excellent interpersonal skills.
* Able to deal with the business and push back where needed.
* Strong business acumen.
* UCITS knowledge is desirable.
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