Compliance Advisory Manager Uk

3 weeks ago

London, United Kingdom eFinancialCareers Full time

**Compliance Advisory Manager UK / EMEA**

**City of London**

**Permanent**

**£70,000 - £80,000**

cer Financial are working alongside a Investment Management Firm, who are looking for a Compliance Advisory Manager to join them on a permanent basis.

**The Responsibilities of a Compliance Advisory Manager UK/EMEA Will Include**:

- Advising the business on the policies and procedures, including representing Compliance in business projects where Compliance input/representation is required
- Leading on other compliance related activities, including Financial promotion sign-off (including associated monitoring controls)
- Conflicts of interest management co-ordination
- Compliance related funds work related to in-scope jurisdictions eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID review
- Implementing regulatory changes for in-scope jurisdictions: Collaborate with the North America Advisory
- Manager and Regulatory Policy Manager2 to implement regulatory policy change into the business.
- Regulatory changes could be rule changes, as well as changes in the relevant regulator’s interpretations/expectations or best practice findings.
- Sharing technical knowledge and jurisdictional expertise to support the Regulatory Policy Manager’s creation of an implementation plan and impacts on the business.
- Ensuring the 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 the business, with the appropriate level of collaboration with Compliance colleagues and the business.
- Regulatory reporting for in-scope jurisdictions - assist, as requested, in ensuring that all compliance related reporting is complete and submitted on time, as well as assisting with relevant registrations (whether firm level or individual level) and requiredfirm-level material
- Liaising and working closely with the Compliance Monitoring team to ensure that they are aware of changes to policies and procedures, so they can make the relevant changes to their monitoring program
- Assisting with the development and delivery of compliance training
- Supporting other business areas to develop and maintain systems, procedures, and controls to ensure ongoing compliance
- Day to day management of staff within your team including recruitment, training, appraisals, salary review etc
- Anything else that may be reasonably requested and needed by the firm to fulfil its compliance obligations

**The Successful Compliance Advisory Manager UK / EMEA Will Have**:

- Ability to think practically and pragmatically, resulting in identifying potential solutions
- People management experience
- Passion for Compliance - desire to learn and develop knowledge on regulatory matters
- 4-6 years’ Compliance regulatory/advisory experience within UK financial services, preferably asset management/wealth management, with 1-2 years management experience
- 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

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