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Compliance Advisory VP
2 months ago
Lutine Bell are supporting the EMEA Chief Compliance Officer of a Leading Global Asset Manager to appoint a Compliance Advisory VP.
About the role: you will communicate and build relationships with stakeholders across the firm and will work very closely with institutional and wealth clients.
Responsibilities:
- Oversight of the regulatory risks, and activities associated with the marketing/distribution and delivery of products.
- Participating in client due diligence visits, prospective client sales meetings and direct conversations with clients where required.
- Support the launch of new products and solutions for clients e.g. regulatory advice to the business on UCITS/AIFMD, pre- and post-trade monitoring, distribution matters, ESG etc.
- Providing advice on the anticipation, impact assessment and response to regulatory developments.
Knowledge:
The ideal candidate will have at least 7 years of relevant experience working within Compliance or legal in the asset management industry. The candidate will have gained a sound knowledge of UCITS rules, MiFID requirements, FCA rules, conduct of business requirements and requirements around the distribution of services in EMEA as well as providing timely and value-added regulatory advice to business stakeholders.
