Senior Compliance Advisory Manager

4 weeks ago

City of 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

  • Risk and Compliance

    7 days ago

    City Of London, United Kingdom Unity Advisory Full time

    Unity Advisory is a challenger advisory firm.Built for the AI-enabled world, we operate a lean, conflict-free, and client-centric model that embeds AI across all workstreams.With no audit practice, we do not have the audit-related conflicts which allows us to focus entirely on delivering value to clients with agility and innovative, outcome-based commercial...

  • Senior Compliance Advisory Manager

    2 weeks ago

    City Of 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...

  • Senior Compliance Advisory Manager

    4 weeks ago

    london (city of 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...

  • Senior Manager

    1 day ago

    City Of London, United Kingdom ACCA Careers Full time

    Senior Manager – Corporate Tax Advisory and Compliance 3 days ago – Be among the first 25 applicants. Job Description KPMG's Tax practice is a dynamic and successful area of our business. A constantly changing and increasingly high‑profile field, Tax can offer a broad range of quality career paths to ambitious people. Our CTAC department is a...

  • 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...

  • Restructuring Advisory

    2 days ago

    City of London, United Kingdom FRP Advisory Group Full time

    Company Description About FRPAt FRP, we are a leading national business advisory firm based in the UK. With over 950 team members, including more than 100 partners, we specialise in Corporate Finance, Debt Advisory, Forensic Services, Financial Advisory and Restructuring Advisory. Operating from 35 offices across the UK, Isle of Man and Cyprus, we are...

  • Restructuring Advisory

    2 hours ago

    City of London, United Kingdom FRP Advisory Group Full time

    Company Description About FRPAt FRP, we are a leading national business advisory firm based in the UK. With over 950 team members, including more than 100 partners, we specialise in Corporate Finance, Debt Advisory, Forensic Services, Financial Advisory and Restructuring Advisory. Operating from 35 offices across the UK, Isle of Man and Cyprus, we are...

  • Manager, M&A Advisory

    2 weeks ago

    City Of London, United Kingdom Interpath Advisory Full time

    Interpath is an international and fast-growing advisory business with deep expertise in a broad range of specialisms spanning deals, advisory and restructuring capabilities.We deliver tangible results for global businesses, their investors, and stakeholders when complex problems arise, and critical decisions need to be made. Interpath is agile, independent,...

  • Senior Compliance Advisory Manager

    1 week ago

    City Of London, England, United Kingdom Rev & Regs Full time £110,000 - £150,000 per year

    Rev & Regsare recruiting for aSenior Compliance Advisory Managerposition 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...

  • Senior Compliance Advisory Manager

    2 weeks ago

    Greater London, United Kingdom Ascot Lloyd Full time

    Senior Compliance Advisory Manager Location: London (hybrid)Hours: 35 hours per weekContract: PermanentSMCR Function: Conduct Role About Ascot LloydAscot Lloyd is one of the UK’s leading independent wealth management firms. Our purpose is simple: to deliver exceptional outcomes for our clients while fostering a culture of integrity, collaboration, and...