Compliance Distribution Specialist

2 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is a large international investment company, with $ trillions in AUM.

They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.

THE RESPONSIBILITIES:

  • Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
  • Support the development of new compliance standards.
  • Serve as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
  • Manage regulatory visits and inspections.
  • Prepare written inspection and assessment reports and provides recommendations for improvement.
  • Provide guidance to mitigate compliance risks and control gaps.
  • Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
  • Support the development of new compliance standards.
  • Identify and implement corrective action plans for resolution of problematic issues. Recommend practices to reduce potential for violations and noncompliance.
  • Manage operational efficiency. Set measurable goals leveraging internal and external resources accordingly.
  • Report on the results of compliance and ethics initiatives of the business.
  • Follow approved investigation procedures and report on corrective actions.
  • Maintain a deep knowledge and awareness of the investment industry with particular focus on multi-asset solutions.
  • Stay abreast of current market, regulatory and industry relevant news. Serve as an expert on compliance related issues. Act as a liaison to regulatory agencies.
  • Participate in special projects and perform other duties as assigned.

EXPERIENCE REQUIRED:

  • Minimum of five years related work experience, with solid knowledge of distribution compliance
  • Ability to stay on top of compliance policies and advise senior management and other stakeholders.
  • Attention to detail and commitment to high quality and timely delivery.
  • Ability to work with a high degree of autonomy and show initiative.

For further information please contact Duncan Jeffery

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