VP Compliance Advisory

12 Apr 2012
12 May 2012
Contract Type

The role will responsible for providing qualitative compliance advice to the various business divisions in within the EMEA region.  This role is to service various business areas to include portfolio managers, researchers, investment strategists, economists and actuaries. 


Some of the responsibilities within the role will include:

·         Working with the head of the team to provide qualitative compliance advice and support the business and respective support functions.

·         Working on new product initiatives and other important business projects providing timely advice on compliance matters.

·         Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments and application of the business compliance policies e.g. allocation/execution, inside information and short selling.

·         Providing input where required on compliance matters to relevant business, strategy and product committees.  Ensure that regulatory issues are properly escalated within the department.

·         Reviewing client communications and/or financial promotions

·         Working on specified compliance projects and initiatives, including for example new regulations.

·         Liaison with business units, and external parties such as transfer agency and other third party providers, auditors, trustees and regulators.


It is essential that you come from a strong academic background, have excellent interpersonal skills. You’ll need to have solid communication skill. In return they are offering a competitive salary