Senior Compliance Officer

2 days ago

Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full time
Job Title: Senior Compliance Executive

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.

Key Responsibilities:
  • Advising on compliance regulations, rules, and standards, and keeping stakeholders informed of regulatory developments.
  • Inputting to written guidance for partners implementing compliance regulations, rules, and standards through policies and procedures.
  • Encouraging a good compliance culture and effective conflicts of interest management and fair treatment of customers and the 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 and 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 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 a comprehensive benefits package.

We are an equal opportunities employer and welcome applications from all qualified candidates. We are committed to creating an inclusive and diverse workplace and encourage everyone to join us and 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 also committed to environmental, social, and governance (ESG) investing and serve our clients in this space as a trusted partner.

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