Head of Advisory Compliance

2 weeks ago

London, United Kingdom eFinancialCareers Full time

Our client, an Asset Manager, is looking for an experienced Head of Advisory Compliance to join their growing team. Reporting to the Head of Compliance and with oversight for a small team, you will have broad compliance advisory responsibilities across allof the business. Duties will include:

- Delivering high-quality regulatory advice to the business for day to day and change activities across the key business areas including Investment, Client, Product, Distribution & Operations.
- Delivering and managing Compliance activities supporting the Regulatory Change Framework including identification, assessment, engagement & the implementations in respect of regulatory change.
- Contributing to a fit for purpose Regulatory Policy Framework through developing, enhancing and updating regulatory policies.
- Contributing to second line of defence reporting, representation and challenge for the businesses governance arrangements including in respect of Boards, Committees and forums.
- Design and delivery of regulatory training modules in collaboration with HR and business areas.
- Participating in or leading other relevant activities including in respect of financial promotion review and approvals; execution of the Compliance team’s monitoring plan; investigations; internal or external audits; and regulatory interactions.

You must be an experienced Compliance Practitioner with a successful track-record as a senior Compliance manager within a UK regulated asset management firm. While an in-depth knowledge and sound understanding of the UK regulatory regime is required youshould also have experience of relevant European regulations.

NB You will support the Head of Compliance and may deputise in their absence, so role is one of influence, responsibility & integrity and will require someone whose career & experience demonstrates this.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

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