Compliance Expert

1 week ago

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

Description

We have an exceptional opportunity for a dedicated and experienced Compliance professional to join our team.

  1. Total Rewards Package
  • Company-provided healthcare
  • 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

What We Are Looking For

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

As a key member of our team, you will be responsible for providing expert advice on regulatory matters related to the UK collective investment scheme products, operations, and administration. You will also assist with advising the business on new distribution initiatives.

Your Key Responsibilities

  1. Advise on the application of UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting, and Distribution Services
  2. Be the Compliance Relationship Manager for Product, Fund Administration, Fund Accounting, and Distribution Services
  3. Represent Compliance on governance committees, including the UK Dilution Committee
  4. Act as a contact point for queries from relevant business areas
  5. Advise on compliance regulations, rules, and standards, keeping stakeholders informed of regulatory developments
  6. Contribute to written guidance for partners implementing compliance regulations, rules, and standards through policies and procedures, and other documents
  7. Encourage a good compliance culture and effective conflicts of interest management and fair treatment of customers and the Consumer Duty
  8. Develop collaborative relationships with the Compliance team, Legal, and Risk counterparts
  9. Support the Head of UK Compliance (SMF16) on relevant UK regulatory projects/one-off requests

The Experience You Bring

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

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