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Senior Compliance Officer
2 months ago
About the Role:
We are seeking a highly skilled Senior Compliance Officer to join our team at OppenheimerFunds Distributor, Inc. in a Compliance Advisory role.
Key Responsibilities:
- Provide expert advice on regulatory matters related to collective investment schemes, operations, and administration.
- Assist in advising the business on new distribution initiatives and ensure compliance with relevant regulations.
- Act as the Compliance Advisory subject matter expert on regulation relating to the UK collective investment scheme products, operations, and administration.
- Be the compliance relationship manager for Product, Fund Administration, Fund Accounting, and Distribution Services.
- Represent compliance on governance committees, including the UK Dilution Committee.
- Act as a contact point for queries from relevant business areas.
- Advise on compliance regulations, rules, and standards, keeping stakeholder teams informed on regulatory developments.
- Contribute to written guidance for partners implementing compliance regulations, rules, and standards through policies and procedures.
- 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.
- 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 prioritize.
What We Offer:
At OppenheimerFunds Distributor, Inc., we offer a competitive benefits package, flexible working options, and a collaborative work environment.
Equal Opportunities:
We are an equal opportunities employer and welcome applications from diverse candidates.
