Compliance Officer - Asset Management
An American global asset management firm with over a trillion USD under AUM is looking for an experienced Compliance Officer to join their growing team in London. The main focus of the business is funds, advisory services, account management, and retirement plans as well as services for individuals, institutions, and financial intermediaries.
The main purpose of the role is to support the Compliance Managers and Director of International Compliance to make sure the business operations are compliant with relevant legislation and regulation.
Main responsibilities would include:
- Delivery of compliance support to the Equity and Fixed Income investment business and support functions as well as being the contact point for Investment Professionals for questions related to regulatory matters covering:
- Researching and responding to trading issues and providing interpretive guidance on the trading manual matters;
- Making decisions on whether clients can participate in an IPO or private placement;
- Developing and enhancing procedures for the business;
- Assisting with the broker legal documentation requirements.
- Working to ensure that the business conducted within other regions complies with relevant laws and regulations including:
- Assisting with regulatory reporting for the firm, e.g. GABRIEL/CONNECT submissions;
- Ensuring appropriate policies and procedures are followed;
- Responding to question/information requests from regulatory authorities;
- Assisting with management of regulatory inspection visits;
- Maintaining knowledge of regulatory developments and implement any required changes.
- Provides consultative support and advice, and assists with the ongoing monitoring of jurisdictional regulatory changes with a view to issuing advice and guidelines to the business in relation to the markets in which it operates.
- Providing consultative support and advice on Code of Ethics and Conduct related matters including:
- Advice on policy with regards to reporting and prior clearing gifts and entertainment;
- Advice the investment business when conflicts of interest may arise.
- Assisting Compliance Managers and Attorneys within Legal department with regulatory projects as well as from time to time assisting the Compliance Monitoring Officer with surveillance or thematic reviews.
- At least 5 years working knowledge of compliance within the asset management industry
- Strong knowledge of the UK FCA regulatory framework
- Degree preferred
- Good product knowledge – US mutual funds, UCITS products
- Excellent interpersonal and influencing skills.
- Able to work under pressure and produce results without close supervision.
- Good verbal and written presentational skills.
- Excellent attention to detail
- A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
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