Compliance Manager Regulatory & Advisory- Asset Management

ZipRecruiter; London; Hybrid; GBP 65,000 - 80,000; Full time

Job summary

An established industry player is seeking a Compliance Manager to join their dynamic team in London. This role involves overseeing regulatory compliance within the asset management sector, engaging with stakeholders, and providing crucial updates on regulatory changes. The ideal candidate will have a strong background in regulatory compliance and the ability to communicate effectively with various stakeholders. This hybrid position offers a competitive salary and the opportunity to contribute to a culture of compliance excellence. If you are passionate about compliance and want to make a meaningful impact, this is the role for you.

Qualifications

• Proven experience in interpreting and implementing regulation in asset management.
• Strong understanding of regulations applicable to wealth management.

Responsibilities

• Conduct regulatory horizon scanning and provide updates on developments.
• Analyze new regulations and oversee implementation actions.
• Provide training and guidance on compliance regulations.

Skills

Regulatory Compliance

Stakeholder Engagement

Written Communication

Regulatory Reporting

Knowledge of ESG

Job description

Job Description

Compliance Manager

Asset Management firm

£65K-£80K

London - Hybrid working

Looking to recruit an experienced Compliance Regulatory and Advisory specialist to join the Compliance team of a London-based asset management firm.

Main Responsibilities

1. Undertake regulatory horizon scanning and produce regular written and verbal updates to the business on regulatory developments, new regulations, and enforcement actions of relevance.
2. Analyze and interpret existing and new regulations to support the business in implementing regulatory change.
3. Agree actions with the business in response to regulatory change and oversee the implementation of these actions to closure.
4. Provide reporting on the status of agreed actions to the Head of Compliance to support the escalation of regulatory risks to relevant governance committees.
5. Maintain detailed knowledge of regulatory developments through attendance at industry and trade body events and forums.
6. Provide training and guidance to the wider business on new and existing regulations.
7. Provide technical advice and guidance on Financial Promotions and review and approve content.
8. Support the Regulatory and Advisory Team Leader in maintaining and reviewing policies, departmental procedures, logs, guidelines, and templates.
9. Collaborate with the Compliance Monitoring Team to ensure recent regulatory developments are incorporated into monitoring reviews.
10. Provide information to third parties such as regulators, government authorities, auditors, Depositary, or other service providers upon request from the Head of Compliance.
11. Develop and maintain positive, collaborative working relationships throughout the business.
12. Champion an effective compliance culture, helping the business manage compliance risks within their areas.
13. Maintain an independent, impartial, and objective view of internal practices while fostering constructive relationships that permit valued challenge.

Experience:

1. Proven experience in interpreting and implementing regulation within a wealth and/or asset management environment.
2. Experience engaging proactively with stakeholders, industry bodies, or networks during periods of significant regulation and business change.
3. Ability to create and deliver clear, concise written and verbal communications on regulatory developments for various stakeholder groups.
4. Experience in reporting and MI production to senior stakeholders.
5. Strong understanding and knowledge of regulations applicable to wealth and/or asset management.
6. Knowledge of ESG and Sustainability is an advantage.

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