Sales & Marketing : Compliance Advisory
A wonderful new opportunity with a premier global fund manager . This is a�broad compliance role working with the Senior Compliance Manager The role will be providing advisory support to the business and on the planning and implementation of an effective risk based compliance monitoring programme primarily covering sales, marketing and product development relationships. The role also manages a number of key reporting obligations both internally and externally.
This would be an ideal role for someone with extensive UCITS, ETF and investment management experience that is looking for a growth opportunity in a quickly developing organisation.
Conducting ongoing and periodic regulatory risk assessments of departments in particular sales, marketing, and product development in the UK and across Europe;
Helping the Senior Compliance Manager to construct monitoring programmes which reflect the regulatory risks of UK and European business activities and financial promotions;
Working closely with the business on any compliance issues arising from advisory activities;
Developing and overseeing compliance reporting obligations to the UK and other European regulators, self certification arrangements in the European business and the ongoing management of the Code of Ethics;
Acting as a mentor to other members of the compliance team;
Production of reports to Senior Management on compliance monitoring and advisory activities;
Devising and implementing the compliance training programme;
Assisting with Depositary and other external audit/compliance visits;
Handling routine business as usual compliance enquiries from the business; and
Assisting with any other regulatory matters as directed by the Senior Compliance Manager.
Undergraduate degree or an equivalent combination of training and experience.
Relevant industry qualification (IMC and/or IAQ).�
Related compliance experience in an investment management business.
Knowledge of FCA rules and regulations commensurate with experience level.
UK and offshore (preferably Irish) UCITS experience is essential.
Knowledge and experience of ETFs an advantage.
Please contact Fergus Hooley on 077252 14435� or email
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