Compliance Advisor

ZipRecruiter; London; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading international investment manager seeks an experienced Compliance Advisory individual to bolster their regulatory compliance team in London. This role emphasizes strong client-facing compliance, focusing specifically on EU and ME&A regulations. Ideal candidates will bring significant expertise in asset management compliance and client distribution activities.

Qualifications

• Deep understanding of EU asset management regulations, UCITS, AIFMD.
• Proven experience in client-facing distribution activities including ME&A.
• Strong understanding of regulatory requirements and best practices.

Responsibilities

• Manage client-facing compliance programmes including marketing and ESG.
• Provide actionable advice on compliance policies.
• Conduct compliance monitoring and testing to ensure adherence.

Skills

Understanding of EU asset management regulations

Client-facing distribution activities

Compliance programme management

Job description

Job Description

We are working with an International Investment Manager who are looking for an experienced Compliance Advisory individual to join their regulatory compliance team in London. This individual will be responsible for maintaining a strong client facing compliance programme and providing pragmatic regulatory advice across the Group's entities, with a particular focus on the Middle East and Africa.

Key Responsibilities:

• Compliance Programme Management, particularly around Client Facing, Marketing, and ESG activities.
• Provide practical, clear, and actionable advice on compliance policies and procedures.
• Conduct Compliance monitoring and testing to ensure adherence to regulatory frameworks, and implementing necessary changes.

Key Requirements:

• ESSENTIAL: Deep understanding of EU asset management regulations, UCITS, AIFMD, and cross-border distribution requirements, particularly in the ME&A.
• Proven experience in client-facing distribution activities including ME&A, with a strong understanding of associated regulatory requirements and best practices.