Senior Compliance Officer

2 weeks ago

Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full time

About the Role

We are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames. As a key member of our team, you will play a critical role in ensuring that our business operations are compliant with relevant regulations and laws.

Key Responsibilities

  • Advise on the application of UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting, and Distribution Services.
  • Act as the Compliance Advisory subject matter expert on regulation relating to the UK collective investment scheme products, operations, and administration.
  • Assist with advising the business on new distribution initiatives.
  • Be the Compliance relationship manager for Product, Fund Administration, Fund Accounting, and Distribution Services.
  • Be the representative for Compliance on a number of governance committees, including the UK Dilution Committee.
  • Act as a contact point for queries from the relevant business areas.
  • Advise on Compliance regulations, rules, and standards, and keep stakeholder teams advised on regulatory developments.
  • Input into written guidance for partners implementing Compliance regulations, rules, and standards through policies and procedures, and other documents such as Compliance manuals.
  • Encourage awareness of a good Compliance culture and effective conflicts of interest management and fair treatment of customers and the application of the Consumer Duty.
  • Develop mutually supportive and collegiate working relationships with the wider Compliance team, Legal, and Risk counterparts.
  • Provide support to the Head of UK Compliance (SMF16) on relevant UK regulatory projects/one-off requests.

Requirements

  • Meaningful experience in Compliance, within asset management or financial services.
  • Experience of fund governance and distribution in the UK, including distribution channels and products (e.g. UCITS, AIFs, PRIIPS, Investment Trusts).
  • A good understanding of the rules within COBS/COLL/DISP/ESG/FUND/PRIN/PROD/SYSC.
  • Know-how of the nature of the business and the regulatory landscape.
  • Ability to build positive relationships with excellent communication skills.
  • Strong eye for detail.
  • Good organisational skills with ability to adapt and prioritise.

What We Offer

We offer a competitive annual leave allowance, flexible working options, including hybrid working arrangements, generous pension provisions, income protection, health and wellness benefits, volunteering days, enhanced parental leave, life insurance, and more.

How to Apply

If you are a motivated and experienced Compliance professional looking for a new challenge, please submit your application. We welcome applications from all qualified candidates and are committed to creating an inclusive and diverse workplace.

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