Regulatory Compliance Vice President
3 weeks ago
Lutine Bell is collaborating with the Chief Compliance Officer for a prominent Global Asset Management firm to identify a Regulatory Compliance Vice President.
Role Summary: In this position, you will engage with various stakeholders throughout the organization and maintain close interactions with institutional and wealth management clients.
Key Responsibilities:
- Monitor and manage regulatory risks and the associated activities related to the marketing, distribution, and provision of financial products.
- Participate in client due diligence assessments, prospective client sales discussions, and direct client interactions as necessary.
- Assist in the introduction of new products and services for clients, including providing regulatory guidance on frameworks such as UCITS/AIFMD, pre- and post-trade oversight, distribution issues, and ESG considerations.
- Offer insights on the anticipation, evaluation, and response to evolving regulatory changes.
Qualifications:
The successful candidate will possess a minimum of 7 years of pertinent experience in Compliance or legal roles within the asset management sector. A comprehensive understanding of UCITS regulations, MiFID standards, FCA guidelines, conduct of business protocols, and distribution service requirements across EMEA is essential, along with the ability to deliver timely and impactful regulatory counsel to business partners.
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