Head of Investment Compliance Advisory

7 days ago

London, Greater London, United Kingdom Goodman Masson Full time
Job Summary

We are seeking a seasoned professional to lead our Investment Advisory Compliance team. As the Head of Investment Compliance Advisory, you will be responsible for developing and implementing compliance strategies that align with our company's goals.

Key Responsibilities
  • Team Leadership: Lead and develop the Investment Advisory Compliance team, setting development goals and annual objectives.
  • Compliance Guidance: Provide practical guidance to our investment teams in Equities and Fixed Income on interpreting and applying regulatory requirements, industry codes, and internal policies.
  • Regulatory Analysis: Perform detailed analysis, interpretation, and practical application of new regulatory requirements affecting our investment activities.
  • Collaboration: Collaborate with stakeholders to implement relevant regulatory requirements for our investment activities.
  • Business Advisory: Advise on significant business projects and changes.
  • Compliance Policy Management: Maintain and update the compliance policies and procedures manual to align with evolving business practices and regulations.
  • Regulatory Compliance Management: Support the accuracy of the Regulatory Compliance Management system for covered business areas and participate in compliance risk assessments.
  • Compliance Monitoring: Conduct risk-based compliance monitoring reviews, ensuring that identified issues are addressed and recurrence risks are mitigated.
  • Compliance Representation: Represent Compliance in fund and product launches, including new product development, fund setups, and investment management agreement negotiations.
  • Compliance Training: Develop and oversee compliance training programs for company employees, ensuring timely completion of required training.
Requirements
  • Experience: Extensive experience in asset management compliance, with a strong emphasis on investment compliance.
  • Leadership: A minimum of 1 year of experience managing others in a regulatory role within financial services.

  • Compliance Director

    6 days ago

    London, Greater London, United Kingdom Goodman Masson Full time

    Job SummaryWe are seeking a seasoned professional to lead our Investment Advisory Compliance team. As the Head of Investment Compliance Advisory, you will be responsible for developing and implementing compliance strategies that align with our company's goals and objectives.Key ResponsibilitiesTeam LeadershipLead and develop the Investment Advisory...

  • Compliance Director

    7 days ago

    London, Greater London, United Kingdom Goodman Masson Full time

    Job SummaryWe are seeking a seasoned professional to lead our Investment Advisory Compliance team. As the Head of Investment Compliance Advisory, you will be responsible for developing and implementing compliance strategies that align with our company's goals and objectives.Key ResponsibilitiesTeam LeadershipLead and develop the Investment Advisory...

  • Compliance Specialist

    6 days ago

    London, Greater London, United Kingdom Goodman Masson Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team at Goodman Masson. As a key member of our Advisory Compliance team, you will play a critical role in ensuring our business operations are in line with regulatory requirements.Key ResponsibilitiesRegulatory Coordination: Collaborate with the Head of Advisory Compliance to...

  • Compliance Specialist

    7 days ago

    London, Greater London, United Kingdom Goodman Masson Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team at Goodman Masson. As a key member of our Advisory Compliance team, you will play a critical role in ensuring our business operations are in line with regulatory requirements.Key ResponsibilitiesRegulatory Coordination: Collaborate with the Head of Advisory Compliance to...

  • Compliance Business Partner

    6 days ago

    London, Greater London, United Kingdom Lutine Bell Full time

    Lutine Bell is currently supporting a leading investment manager in appointing a Compliance Business Partner to collaborate closely with the Head of Compliance Advisory. Our client offers a hybrid working arrangement with offices located across the country.Key Responsibilities:Contribute to advisory projects across the team, providing assistance and sharing...

  • Compliance Business Partner

    6 days ago

    London, Greater London, United Kingdom Lutine Bell Full time

    Lutine Bell is currently supporting a leading investment manager in appointing a Compliance Business Partner to collaborate closely with the Head of Compliance Advisory. Our client offers a hybrid working arrangement with offices located across the country.Key Responsibilities:Contribute to advisory projects across the team, providing assistance and sharing...

  • Head of Investment and Regulatory Compliance

    5 days ago

    London, Greater London, United Kingdom The Goddard School of Avon, IN Full time

    About the Role:The Goddard School of Avon, IN is seeking a highly experienced and skilled professional to lead our Investment Advisory Compliance team. As the Head of Investment and Regulatory Compliance, you will be responsible for ensuring that our investment activities are in compliance with all relevant regulatory requirements and industry standards.Key...

  • Head of Investment and Regulatory Compliance

    5 days ago

    London, Greater London, United Kingdom The Goddard School of Avon, IN Full time

    About the Role:The Goddard School of Avon, IN is seeking a highly experienced and skilled professional to lead our Investment Advisory Compliance team. As the Head of Investment and Regulatory Compliance, you will be responsible for ensuring that our investment activities are in compliance with all relevant regulatory requirements and industry standards.Key...

  • Compliance Business Partner

    1 week ago

    London, Greater London, United Kingdom GB010 Marsh Corporate Services Full time

    About the Role:We are seeking a highly skilled Compliance Business Partner to join our team at GB010 Marsh Corporate Services. As a Compliance Business Partner, you will play a critical role in supporting the Head of Advisory Compliance in ensuring the company's compliance with regulatory requirements and business initiatives.Key Responsibilities:Support the...

  • Compliance Advisory Leader

    6 days ago

    London, Greater London, United Kingdom Investigo Full time

    Job SummaryWe are seeking a highly skilled Compliance Advisory professional to join our team at Investigo. As an Associate Vice President, you will play a critical role in providing regulatory guidance to our banking and securities operations across the EMEA region.Key ResponsibilitiesRegulatory ExpertiseProvide advisory support to our Private Side...

  • Compliance Advisory Leader

    1 week ago

    London, Greater London, United Kingdom Investigo Full time

    Job SummaryWe are seeking a highly skilled Compliance Advisory professional to join our team at Investigo. As an Associate Vice President, you will play a critical role in providing regulatory guidance to our banking and securities operations across the EMEA region.Key ResponsibilitiesRegulatory ExpertiseProvide advisory support to our Private Side...

  • Investment Compliance Lead

    7 days ago

    London, Greater London, United Kingdom Goodman Masson Full time

    Job SummaryWe are seeking a seasoned professional to lead our Investment Advisory Compliance team. As the Head of Investment Compliance Advisory, you will be responsible for developing and implementing compliance strategies that align with our company's goals.Key ResponsibilitiesTeam Leadership: Lead and develop the Investment Advisory Compliance team,...

  • Investment Compliance Lead

    6 days ago

    London, Greater London, United Kingdom Goodman Masson Full time

    Job SummaryWe are seeking a seasoned professional to lead our Investment Advisory Compliance team. As the Head of Investment Compliance Advisory, you will be responsible for developing and implementing compliance strategies that align with our company's goals.Key ResponsibilitiesTeam Leadership: Lead and develop the Investment Advisory Compliance team,...

  • Head of Compliance Advisory

    6 days ago

    London, Greater London, United Kingdom Shell Full time

    About the RoleWe are seeking a highly experienced and skilled Compliance Expert to join our team at Shell. As the Head of Compliance Advisory, you will play a critical role in ensuring that our business operations are in compliance with all relevant laws, regulations, and industry standards.Key ResponsibilitiesCompliance Advisory: Provide expert advice and...

  • Head of Compliance Advisory

    6 days ago

    London, Greater London, United Kingdom Shell Full time

    About the RoleWe are seeking a highly experienced and skilled Compliance Expert to join our team at Shell. As the Head of Compliance Advisory, you will play a critical role in ensuring that our business operations are in compliance with all relevant laws, regulations, and industry standards.Key ResponsibilitiesCompliance Advisory: Provide expert advice and...

  • Compliance Advisory Expert

    4 days ago

    London, Greater London, United Kingdom Investigo Full time

    Job Title: AVP Compliance AdvisoryAbout the Role:The Compliance Advisory team at Investigo is responsible for providing high-quality regulatory guidance to the banking and securities operations across the region. As a crucial link between Compliance and the Front Office, the team ensures robust collaboration on all regulatory issues relevant to the business...

  • Compliance Advisory Expert

    4 days ago

    London, Greater London, United Kingdom Investigo Full time

    Job Title: AVP Compliance AdvisoryAbout the Role:The Compliance Advisory team at Investigo is responsible for providing high-quality regulatory guidance to the banking and securities operations across the region. As a crucial link between Compliance and the Front Office, the team ensures robust collaboration on all regulatory issues relevant to the business...

  • Compliance Advisory Expert

    7 days ago

    London, Greater London, United Kingdom Investigo Full time

    Job Summary:The Compliance Advisory team at Investigo is seeking a highly skilled and experienced professional to join our team as an Associate Vice President (AVP) – Compliance Advisory. This role offers a unique opportunity to cultivate and manage relationships with key business areas of strategic importance to the Bank, while providing high-quality...

  • Head of Advisory Services

    7 days ago

    London, Greater London, United Kingdom Black Swan Group Full time

    Job Title: Director of ComplianceAbout the Role:We are seeking a seasoned compliance professional to join our team at Black Swan Group as a Director of Compliance. As a key member of our advisory team, you will provide expert guidance on regulatory matters and support our business operations.Key Responsibilities:Provide advisory services to our business...

  • Compliance Advisory Specialist

    4 weeks ago

    London, Greater London, United Kingdom Danos Group Full time

    Position Overview:We are seeking a skilled Compliance Advisory professional to join the esteemed Danos Group. The ideal candidate will possess substantial experience in compliance advisory roles, particularly within the realm of Fixed Income, Currencies, and Commodities (FICC). A proven ability to engage with business stakeholders and a solid understanding...