Compliance Advisory - Asset Management (15244895/002) City of London, England
We are currently recruiting for a compliance advisory consultant to join a leading Asset Management firm based in the City of London with UK assets of approx. £170 billion. This role will be there to provide advisory around a number of issues including regulation.
The role will include but not be limited to:
-Ensure relevant individuals are fully aware of the parameters of their authorisation and have gone through the relevant “authorised signatory and approved persons process”;
-Maintain Authorised Signatories schedule;
-Provide advice in event of compliance/regulatory breaches and advise business on appropriate course of action;
-Advise on any market abuse questions;
-Maintain insider and restricted lists;
-Annual review of all compliance policies;
-Development of any new Compliance policies;
-Provide advice on application of Compliance policies
-Provide advice on application of Code of Ethics;
-Refer relevant questions to, and work with, Financial Crime Prevention Unit to undertake relevant financial crime risk assessments ;
-Provide advice on actual/potential fraud;
-Provide advice on, and document, conflicts;
-Provide Regulatory Advice
-Deliver training on new Policies and regulatory hot spots
The idea candidate is likely to have:
-A proven Track record in Compliance Advisory or Compliance Generalist capacity for a regulated entity within the Financial Services industry.
-Asset Management experience would be beneficial but candidates with investment banking and hedge fund experience will also be considered.
-Good drafting and presentation skills essential.
-Experience in working with senior business stakeholders imperative.
The role will include but not be limited to:
-Ensure relevant individuals are fully aware of the parameters of their authorisation and have gone through the relevant “authorised signatory and approved persons process”;
-Maintain Authorised Signatories schedule;
-Provide advice in event of compliance/regulatory breaches and advise business on appropriate course of action;
-Advise on any market abuse questions;
-Maintain insider and restricted lists;
-Annual review of all compliance policies;
-Development of any new Compliance policies;
-Provide advice on application of Compliance policies
-Provide advice on application of Code of Ethics;
-Refer relevant questions to, and work with, Financial Crime Prevention Unit to undertake relevant financial crime risk assessments ;
-Provide advice on actual/potential fraud;
-Provide advice on, and document, conflicts;
-Provide Regulatory Advice
-Deliver training on new Policies and regulatory hot spots
The idea candidate is likely to have:
-A proven Track record in Compliance Advisory or Compliance Generalist capacity for a regulated entity within the Financial Services industry.
-Asset Management experience would be beneficial but candidates with investment banking and hedge fund experience will also be considered.
-Good drafting and presentation skills essential.
-Experience in working with senior business stakeholders imperative.