Senior Compliance Expert

1 week ago

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

About the Role:

We are seeking a highly skilled and experienced Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames. As a member of this team, you will play a crucial role in ensuring the compliance of our collective investment scheme products, operations, and administration with UK regulatory rules.

Your Key Responsibilities:

  • Advising on the application of UK regulatory rules pertaining to product, fund administration, fund accounting, and distribution services.
  • Being the compliance relationship manager for product, fund administration, fund accounting, and distribution services.
  • Representing compliance on various governance committees, including the UK Dilution Committee.
  • Acting as a contact point for queries from relevant business areas.
  • Advising on compliance regulations, rules, and standards, keeping stakeholder teams informed of regulatory developments.
  • Contributing to written guidance for partners implementing compliance regulations, rules, and standards through policies and procedures, and other documents such as compliance manuals.
  • Encouraging a good compliance culture and effective conflicts of interest management, fair treatment of customers, and application of the Consumer Duty.
  • Developing mutually supportive and collegiate working relationships with the wider Compliance team, Legal, and Risk counterparts.
  • Providing support to the Head of UK Compliance (SMF16) on relevant UK regulatory projects/one-off requests.

Your Experience and Skills:

  • 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).
  • Good understanding of the rules within COBS/COLL/DISP/ESG/FUND/PRIN/PROD/SYSC.
  • Knowledge 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.

Working with Us:

We are an equal opportunities employer, committed to creating inclusive teams and welcoming everyone. Our mission is to partner with charitable organisations globally to make an impact in the communities where we live and work. We are also committed to environmental, social, and governance (ESG) investing, serving our clients as a trusted partner in this space. If this sounds like you, we'd love to hear from you.

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