Compliance Advisory - Asset Management - Vice President

J.P. Morgan; London; On-site; GBP 150,000 - 200,000; Full time

Job summary

An established industry player is seeking a Compliance Risk Management Lead to ensure adherence to legal and regulatory standards within asset management. This pivotal role involves integrating compliance into daily operations, providing advice to product groups, and collaborating with various teams to foster a strong compliance culture. The ideal candidate will possess extensive experience in compliance, particularly within the U.K. regulatory landscape, and demonstrate exceptional analytical and communication skills. Join a dynamic team where your contributions will directly impact the compliance framework and client satisfaction.

Qualifications

• Relevant compliance experience in Asset Management is essential.
• Strong understanding of U.K. regulations and compliance frameworks.

Responsibilities

• Provide compliance advice and manage regulatory issues.
• Collaborate with teams on product development and compliance training.

Skills

Compliance Experience

U.K. Regulations (UCITS, AIFMD, NURS)

Consumer Duty Understanding

Analytical Skills

Problem-Solving Skills

Communication Skills

Relationship Management

Attention to Detail

Job description

Are you ready to make a significant impact in the world of asset management compliance? As a Compliance Risk Management Lead, you will play a crucial role in ensuring our business activities adhere to legal and regulatory standards. Join us in promoting a strong compliance culture and advocating for our clients' interests.

As a Compliance - Risk Management Lead - Vice President in the EMEA Compliance Advisory Team, you will support our Asset Management Funds business. You will work closely with the First Line of Defense (1LOD) to seamlessly integrate compliance requirements into daily operations, ensuring that client priorities remain a top focus. Your role will be pivotal in delivering high-quality compliance oversight and fostering excellence within the team.

Job Responsibilities:

• Provide compliance advice to Product Groups, managing or escalating regulatory issues as necessary.
• Collaborate with Product Development on new product creation and launch, attending project meetings and approval processes.
• Coordinate with Portfolio Management teams on regulatory matters, such as instrument eligibility.
• Work with global counterparts in the US and APAC to ensure regional consistency and leverage best practices.
• Deliver periodic compliance training to the first line of defense (1LOD).
• Represent the Compliance function at internal governance committees.
• Participate in project work as required.

Required Qualifications, Capabilities, and Skills:

• Relevant compliance experience within the Asset Management industry.
• Expertise in U.K. regulations relating to UCITS, AIFMD, and NURS funds, across various asset classes.
• Practical understanding of Consumer Duty, Assessment of Value, and Sustainability Disclosure Requirements.
• Strong partnership, technical regulatory, and relationship management skills.
• Excellent communication, problem-solving, and analytical skills.
• High attention to detail and strong writing and presentation abilities.
• Positive attitude and proactive approach.

Preferred Qualifications, Capabilities, and Skills:

• Proven track record of effective collaboration with Investment Professionals, Legal, and Product Development teams.
• Strong and resilient personality, capable of representing the Compliance Function and providing credible challenges.
• Collaborative team player with a "can-do" approach.