Compliance Advisory Manager

2 weeks ago

London, United Kingdom eFinancialCareers Full time

Compliance Advisory Manager (Investment/Wealth Management)

Central London/Hybrid

Permanent

c£75,000 - £80,000 pa plus benefits

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
- Implementing regulatory changes for UK/EMEA, collaborating closely with the North America Advisory Manager and Regulatory Policy Manager to implement regulatory policy change into the business.
- 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

The Successful Compliance Advisory Manager UK / EMEA Will Have:

- 4-6 years’ Compliance regulatory/advisory experience within UK financial services, preferably asset management/wealth management, with 1 - 2years 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

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

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