Senior Compliance Advisory Manager

2 weeks ago

City of London Greater London, United Kingdom Rev & Regs Full time

Rev & Regs are recruiting for a Senior Compliance Advisory Manager position for a global asset management company in the City of London. You will play an active role in providing regulatory advice & interpretation and compliance support to teams in the UK, Ireland and Continental Europe cutting across all asset classes namely Equities, Fixed Income and Multi-Asset. The individual for this role is expected to bring strong technical expertise to the team, particularly focusing to improve the quality and coverage of end-to-end portfolio compliance advice to respective business stakeholders in the UK, Ireland and Continental Europe. Responsibilities: Collaborate with investment personnel and their support teams to understand their perspective and the impact of investment guideline issues and interpretations on the investment process. Acts as a partner to Product and Institutional teams, supporting the onboarding/launch of new institutional mandates and products. Demonstrate proficiency on Charles River (CRD), demonstrate experience and ability in interpreting compliance rules coded in CRD, particularly with respect to complex investment strategies, fixed income securities, FX, and derivatives. Assisting with pre-trade alerts and queries in Charles River and maintenance of the restricted list related to market conduct. Review the prospectus and IMAs to ensure they are consistent with internal guidelines and regulatory requirements as part of new onboarding calls or fund changes. Understand and articulate differences in local requirements. Keep abreast of market trends around client mandates, how they impact portfolio strategy, and how regulators are responding. Monitor emerging regulatory rules and announcements and make recommendations around clear policy, procedure and control implications. Responding to client issues and regulatory inquiries related to Investment Management activities. Work closely with other advisory and monitoring colleagues, to identify improvement opportunities, actively drive efficiency, consistency and best practice globally. Experience: Self-starter who can work in a fast-paced environment under time critical deadlines with competing priorities and who is able to manage expectations of key stakeholders. Strong appreciation of specific, relevant regulation and legislation e.g. UCITS, MIFID, AIFMD, SFTR, EMIR. Proven track record of delivering investment compliance advice focused on equities, fixed income and multi-asset instruments. Someone with alternative assets and active ETF experience would be advantageous. Deep knowledge of the UK and European regulatory environment. Ideally a relevant investment management qualification (e.g. Investment Management Certificate), but not essential. Location: Hybrid (3 days per week in City of London office) Salary: £110,000 + bonus + benefits package

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