Compliance Senior Manager

2 weeks ago

London, Greater London, United Kingdom PARK Senior Villas Chandler Full time
About the Role

We are seeking a highly skilled Compliance Senior Manager to join our UK Client Group Compliance team. As a key member of our team, you will play a critical role in ensuring that our business operations are compliant with regulatory requirements.

Key Responsibilities
  • Provide expert compliance advice and guidance to business areas on regulatory rules and expectations related to financial promotions, client communications, and fund offering documents.
  • Manage the review and approval of financial promotions, coordinating with global Compliance teams to ensure consistency and effectiveness.
  • Identify regulatory training requirements within Marketing and Communications teams, devise and deliver training to meet identified needs.
  • Participate in Compliance Monitoring reviews, analyzing and tracking regulatory changes affecting Marketing and Communications teams.
  • Ensure that complaints, breaches, and errors are appropriately identified, escalated, and resolved.
  • Review and provide guidance on Marketing and Communications policies and procedures to ensure regulatory requirements are met.
Requirements
  • Relevant Compliance or Asset Management experience working within the UK regulatory or EEA environment.
  • Leadership and people management skills.
  • Ability to demonstrate strong commitment to Compliance and essential underlying values.
  • Strong technical skills and knowledge of retail and institutional distribution activities and asset management products.
  • Confident in dealing with people at all levels, comfortable with giving presentations and training.
About Us

PARK Senior Villas Chandler is committed to providing excellent investment performance to clients through active management. We value diversity of thought and foster an inclusive culture, recognizing that inclusion and diversity are strategic priorities for our organization.

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