Senior Compliance Officer

5 days ago

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

We are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames.

About the Role

As a Senior Compliance Executive, you will be responsible for advising on the application of UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting, and Distribution Services. You will also be the compliance relationship manager for these areas and a representative on several governance committees, including the UK Dilution Committee.

You will act as a contact point for queries from relevant business areas and advise on compliance regulations, rules, and standards. You will also input into written guidance for partners implementing compliance regulations, rules, and standards through policies and procedures, and other documents such as compliance manuals.

Key Responsibilities
  • Advising on the application of UK regulatory rules
  • Being the compliance relationship manager for Product, Fund Administration, Fund Accounting, and Distribution Services
  • Representing compliance on governance committees
  • Acting as a contact point for queries from business areas
  • Advising on compliance regulations, rules, and standards
  • Inputting into written guidance for partners
  • Encouraging awareness of a good compliance culture and effective conflicts of interest management
  • Developing mutually supportive working relationships with the Compliance team, Legal, and Risk counterparts
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
  • Good understanding of UK regulatory rules
  • Ability to build positive relationships with excellent communication skills
  • Strong eye for detail
  • Good organisational skills with ability to adapt and prioritise
About Us

We are an equal opportunities employer and welcome everyone to join our team. We celebrate difference and encourage everyone to be themselves at work. We partner with charitable organisations globally to make an impact in the communities where we live and work. Our people are encouraged to support the charities they feel most passionate about.

We are committed to environmental, social, and governance (ESG) investing and serve our clients in this space as a trusted partner. We have an in-house recruitment team and do not accept unsolicited resumes from agency or search firm recruiters.

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