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Senior Compliance Advisor

4 months ago

London, UK, United Kingdom Barings Full time

Job Title: Senior Compliance Advisor

Department: Compliance

Reports to: Head of Advisory. Compliance

Team Overview

The European Compliance department comprises four teams: Compliance Advisory, Compliance Ireland, Financial Crime Prevention and Core & Monitoring. This role sits within the Advisory team, which supports, guides and where appropriate, challenges the business on a wide range of regulatory and compliance matters. The candidate will have the opportunity to work with a highly technical team that is respected across the business and partners with multiple colleagues across Barings’ global offices on key regulatory matters.

Purpose of Role

Acting as a trusted adviser to the business by providing timely, sound and pragmatic advice and guidance on a variety of regulatory matters emanating from regulatory change and business queries/development. The primary focus of the role is to support the business on changes to the UK and EU retail investor protection agenda, ESG, revisions to the AIFMD, capital markets regulation, and the proposed overhaul of the UK regulatory regime for asset managers. The candidate will be required to have a strong understanding of AIFMD 2, MiFID 2 and UCITS and must be capable of developing a suite of responsibilities and relationships as they grow into the role.

Principal Responsibilities

Advice/Guidance

  • Work closely with the Product Management and Client Portfolio Management teams on matters regarding, OFR, SDR, SFDR and its application to Barings’ funds.
  • As above but for changes in relation to the FCA’s LTAF and EU ELTIF 2.0
  • Work with investment teams and provide advice to changes from EU and UK MiFID.

Regulatory Developments

  • Work proactively with Sales and Product Teams on the implementation of new regulations (i.e., the FCA’s Consumer Investments Markets and the EU’s Retail Investment Strategy) helping to identify effective solutions that meet both regulatory expectations and Barings business model.
  • Managing the internal regulatory horizon tracker and completing initial analysis of new regulations that are likely to have a material impact on Barings.
  • Maintain relevant documents and reports to support the above activities.
  • Participate or lead presentations on regulatory changes to business units.
  • Attend relevant events at law firms / consultants / trade bodies and feed insights / market intelligence back to colleagues.
  • Support the Head of Advisory on providing timely advice to Business Units on the following regulatory requirements: AIFMD, UCITS, MiFID II and navigating the impact of the deviations between the UK and EU of associated regulatory changes.

Compliance Policies/Framework

  • Keeping Compliance policies and procedures up to date.
  • Produce new and/or amended Compliance policies and procedures as a result of regulatory or business change.
  • Input into the Compliance plan as required.
  • Undertake other Compliance processes as required.
  • Assist the Head of Advisory in maintaining Compliance processes e.g., the Conflicts of Interest Register, Client take-on and annual planning.

Relationships with Third Parties

  • Liaise and interact with industry trade bodies (e.g., the IA, ELFA), consultants and external auditors as required.
  • Assist the Head of Compliance in dealing with visits/requests from regulators, including preparation and reporting activities

Reporting

  • Provide and/or input into Compliance reports to various boards and committees.
  • Assist the Heads of Compliance and Distribution in Ireland with required Irish reporting.
  • Experience and Skills Required

Strong knowledge of:

  • AIFMD and AIFMD 2.
  • MiFID 2
  • UCITS
  • FCA/MiFID II requirements re product governance
  • COLL / FUND
  • ESG – SFDR and UK SDR
  • Good knowledge of Conflicts of Interest, Cost transparency, COBS and Wholesale Conduct
  • Solutions orientated.
  • Proactive with good communication skills (writing and oral)
  • Ability to positively engage with and influence senior stakeholders.
  • Ability to work with challenging and thought-provoking stakeholders.
  • Ability to balance the need to maintain a degree of independence with the need to build strong “internal client” relationships.
  • Ability to focus on core responsibilities but also remain sufficiently flexible to deal on occasions with new issues / priorities

The role would suit a professional, individual looking to make the next step in their career and who is currently working at regulatory consultant, law firm or asset manager in a Compliance business-facing role.