Compliance Advisory Manager – Retail Asset Management or Discretionary Investment Management Ex[...]

Compliance Recruitment Solutions; London; On-site; GBP 50,000 - 90,000; Full time

Job summary

An established industry player in wealth and investment management is seeking a Compliance Advisory Manager to join their dynamic compliance team. This role offers a unique opportunity to engage in regulatory horizon scanning, analyze and implement regulatory changes, and provide technical guidance on compliance matters. Ideal candidates will possess significant experience in retail fund product compliance and a strong understanding of FCA regulations. Join a fast-growing business and advance your compliance career while working alongside seasoned professionals in a supportive environment. If you have strong interpersonal skills and a passion for compliance, this role could be your next career move.

Benefits

Generous Pension

Opportunity to Buy More Holiday

Qualifications

• Significant retail fund product compliance advisory experience required.
• Expertise in FCA regulations and their implementation in asset management.

Responsibilities

• Conduct regulatory horizon scanning and provide updates to the business.
• Support the implementation of regulatory changes and oversee actions.
• Provide training on new and existing regulations to staff.

Skills

Regulatory Compliance

Interpersonal Skills

Analytical Skills

FCA Regulatory Knowledge

Training and Guidance

Education

Degree in Finance or Related Field

Job description

Compliance Advisory Manager – Retail Asset Management or Discretionary Investment Management Experience Required

Ref: 4108G

Our client, a boutique wealth & investment manager and part of a larger global banking Group, is looking to recruit a Compliance Advisory Manager to join their collegiate and dynamic compliance team. Reporting to the Head of the Compliance Advisory Team, in this mixed & varied role duties will include;

• Undertaking regulatory horizon scanning and producing regular written and verbal updates to the business on regulatory developments, new regulations and enforcement action of relevance
• Analysing and interpreting existing and new regulations to support the business to implement regulatory change
• Agreeing actions with the business in response to regulatory change and for overseeing the implementation of these actions to closure
• Reporting on the status of agreed actions to the Head of Compliance to support the escalation of regulatory risks to the relevant governance committees
• Supporting the Regulatory and Advisory Team Leader in maintaining and reviewing policies, departmental procedures, logs, guidelines and templates
• Maintaining a detailed knowledge of regulatory developments through attendance at industry and trade body events and forums
• Responsible for providing technical advice and guidance to the business on Financial Promotions and reviewing and approving content
• Champion an effective compliance culture, helping the business to manage compliance risks within their areas of responsibility
• Providing training and guidance to the wider business on new and existing regulations

You must have significant retail fund product compliance advisory experience gained with an Asset or Wealth Manager (or Consultancy supporting such). Also whilst you must have experience of interpreting and subsequently implementing regulation in a wealth and/or asset management environment as important will be your FCA regulatory knowledge and ability to research, understand and disseminate technical compliance rules and regulations throughout a large and growing business.

This is an excellent opportunity to advance your compliance career with one of the fastest growing wealth & investment management businesses in the UK and to work with and learn from some of the most experienced compliance professionals in the city. Benefits included generous pension and opportunity to buy more holiday etc.

So, if you have above average interpersonal skills, able to diplomatically liaise with staff at all levels, are ambitious and feel you have the aptitude and desire to work for a market leading business in an exciting and challenging role, then please send your CV to Gary Collins – [e-mail]

Compliance Recruitment Solutions Limited (CRS) and Symes Collins are acting as an employment agency in relation to this role.