Compliance Advisory Manager Uk

2 weeks ago

London, Greater London, United Kingdom eFinancialCareers Full time
Do you have approximately 4-6 years' Compliance Advisory/regulatory experience within UK financial services, preferably asset management/wealth management?

Do you have at least 1-2 years management experience?

Are you experienced in advising on UK and EU compliance policies and working with the business regarding policy changes, as well as experience of UK/EU fund structures?

We are currently recruiting for a
Compliance Advisory Manager UK & EMEA


For UK & EMEA, advising the business on compliance policy whilst ensuring Ruffer's policies are kept up to date and aligned and implementing regulatory policy change where necessary.


Key responsibilities:


You will be advising the business on Ruffer's policies and procedures, including representing Compliance in business projects where Compliance input/representation is required.

You will be leading on other compliance related activities including:

  • Financial promotion sign-off (including associated monitoring controls)
  • Conflicts of interest management coordination
  • Compliance related UK/EMEA funds work eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID reviews
Collaborating with the Regulatory Policy Manager to implement regulatory policy change into Ruffer's business.
Regulatory changes could be rule changes, as well as changes in the relevant regulator's interpretations/expectations or best practice findings.
Via

  • Sharing technical knowledge and jurisdictional expertise to support the Regulatory Policy Manager's creation of an implementation plan and impacts on Ruffer.
  • Ensuring Ruffer's compliance policies and procedures are in line with regulatory requirements, updating and refreshing them as regulatory requirements/expectations change
  • Assisting with implementation of regulatory changes into Ruffer's business
  • Liaising and working closely with the Compliance Monitoring team to ensure that they are aware of changes to policies and procedures
  • Day to day management of staff within your team including recruitment, training, appraisals, salary review etc

ABOUT US
Ruffer's single investment strategy is defined by two simple investment objectives:

  • Not to lose money in any 12-month period
  • Generate returns meaningfully ahead of the return on cash

ALL-WEATHER INVESTING
We aim to deliver positive returns come rain or shine. If we are to be good all-weather investors, we cannot be dependent on the direction of markets. To avoid that dependency, we always hold investments in what we call growth and protection. We hold thesealongside each other, changing the allocation to each over time. When the market sun shines, we expect our growth assets to prosper. When a market storm hits, our protective assets should provide shelter, defending the portfolio from a downturn. At Ruffer,we are committed to being good stewards of our clients' assets. To that end, environmental, social and governance (ESG) considerations are integrated into our investment process.

Whether it's climate change or indigenous rights, executive pay or workforcesafety, we believe our considered approach helps us make better decisions.

To the advantage of our clients' portfolios. To the benefit of the companies, we invest in. And for the good of the environment and society.

DIVERSITY & INCLUSION
**Please note Ruffer operates a hybrid working policy of 3 days in the office 2 days from home.

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