Compliance Manager (Regulatory & Advisory)- Asset Management

TN United Kingdom; London; Hybrid; GBP 50,000 - 90,000; Full time

Job description

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Compliance Manager (Regulatory & Advisory) - Asset Management, London

Client:

Robert Half

Location:

London, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Reference:

690d22694bfc

Job Views:

3

Posted:

24.04.2025

Expiry Date:

08.06.2025

Job Description:

Compliance Manager

Asset Management firm

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

• Undertake regulatory horizon scanning and produce regular written and verbal updates to the business on regulatory developments, new regulations, and enforcement actions of relevance.
• Analyse and interpret existing and new regulations to support the business in implementing regulatory change.
• Agree actions with the business in response to regulatory change and oversee the implementation of these actions to closure.
• Provide reporting on the status of agreed actions to the Head of Compliance to support the escalation of regulatory risks to the relevant governance committees.
• Maintain a detailed knowledge of regulatory developments through attendance at industry and trade body events and forums.
• Provide training and guidance to the wider business on new and existing regulations.
• Provide technical advice and guidance to the business on Financial Promotions and review and approve content.
• Support the Regulatory and Advisory Team Leader in maintaining and reviewing policies, departmental procedures, logs, guidelines, and templates.
• Work with the Compliance Monitoring Team to ensure the most recent regulatory developments are taken into consideration as part of monitoring reviews.
• Provide information to third parties when requested, such as to the regulator, government authorities, external and internal auditors, Depositary, or any other third-party service provider on request from the Head of Compliance.
• Develop and maintain positive, collaborative working relationships throughout the business.
• Champion an effective compliance culture, helping the business manage compliance risks within their areas of responsibility.
• Maintain an independent mindset, taking an impartial and objective view of internal practices while maintaining good relationships that permit constructive and valued challenge.

Experience:

• Proven experience of interpreting and implementing regulation in a wealth and/or asset management environment.
• Proven experience of proactively engaging with stakeholders, industry bodies, or networks during periods of significant new regulation and business change.
• Experienced at creating and delivering clear and concise written and verbal communications on current and upcoming regulatory developments, which can be leveraged across various stakeholder groups and varying situations.
• Proven experience of reporting and MI production to senior stakeholders.
• Demonstrable strong understanding and knowledge of regulations applicable to a wealth and/or asset management environment.
• Strong knowledge of ESG and Sustainability is an advantage.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to diversity, equity, and inclusion. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications, and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: roberthalf.com/gb/en/privacy-notice.