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Head of Client and Product Compliance

2 months ago

London, United Kingdom Jupiter Asset Management Full time

The Value of Active Minds

About Jupiter

Jupiter is one of the UK’s leading investment management companies with just over 500 employees and £51.4 billion worth of assets under management (as at 30th June 2023).

Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA, APAC and the US.

The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground’s Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings.

We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

Background- As a member of the Compliance team, the role is focused on all central compliance activities and works closely with the Head and Deputy Head of Compliance- The role works in collaboration with various teams in Compliance, as well as within the business.

Key Responsibilities

Primary Responsibilities:

- Support the Head of Compliance in meeting their regulatory obligations through the provision of compliance advisory, oversight and monitoring and assurance activities in relation to client and product compliance.
- Lead and motivate the Client and Product Compliance team ensuring appropriate training, frameworks and tools, processes and procedures are in place to provide a high-quality product and client compliance service.
- Foster a culture of good conduct and high standards / work ethics through the provision of robust team management.
- Provide accurate and timely production of management information in respect to these areas to assist the Head of Compliance in undertaking reasonable steps.
- Assist in the design and execution of the compliance monitoring plan with specific focus to product and client related activities and risks including assurance of first line controls.
- Monitor client activity and transactions for suspicious behavior, investigating potential breaches and escalating where necessary.
- Own and oversee all product and client related compliance frameworks, including but not limited to complaints handling, product development/change, financial promotions and consumer duty controls ensuring they remain in line with regulatory obligations and risk appetites.
- Maintenance of Client and Product Compliance risk assessments
- Responsible for the global financial promotion approval framework ensuring timely, risk-based approvals.
- Close collaboration with international compliance colleagues, utilising international resources and expertise for global marketing, product and client oversight and approval.
- Responsible for compliance oversight, monitoring and advice for transfer agency related activities
- Oversee the product governance framework to ensure compliance with PROD Sourcebook and provide related management information to the Head of Compliance including product specific reporting under MiFID
- Provide pro-active oversight and advice in respect to all product related change, including but not limited to launches, changes and closures.
- Work closely with the Head of Investment Compliance and the Head of Portfolio Compliance, ensuring that all relevant information in respect to product change is shared to allow for effective monitoring and oversight post product change completion.
- Provide pro-active advice and insight into product and client related regulatory change including any financial promotion related change. Oversee and support the implementation of such change from a second line perspective.
- Work closely with the Client Group and Product Restructuring Teams to ensure sufficient pro-active compliance advice, oversight and monitoring is provided.
- Establish and manage processes for client onboarding and due diligence
- Own and maintain the compliance due diligence question bank
- Represent compliance at due diligence meetings
- Work closely with the Head of Portfolio Compliance and Head of Investment Compliance in the oversight, monitoring and advice provision of ESG related regulation applicable to Jupiter products and Jupiter as a corpo

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