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This pivotal role will cover all aspects of the Asset Management business activities relating to regulatory rules and working closely with the US Compliance business ensuring all regulatory requirements are met.
Main responsibilities will include:
Develop the Asset Management Compliance programme
Working closely with the FCA, SEC and other regulatory bodies
Develop and improve the Compliance Monitoring and Surveillance programme
Proactively engage with business stakeholders and embed a robust Compliance culture across the Asset Management business
Provide Advice and guidance on all regulatory requirements
Work closely with the regulatory development teams keeping abreast with relevant regulatory changes impacting the Asset Management business
Provide input to policy and procedural changes relevant to FIA/ECM
Partner with Compliance counterparts in the US regarding SEC rules and regulations
Draft and issue formal reports to the business
Support in maintaining risk assessments and ongoing maintenance
Develop and maintain strong stakeholder management
Essential experience required:
Subject matter knowledge of Asset Management products and services
Experience providing Compliance advice and guidance on regulatory requirements
Strong understanding of FCA, PRA and SEC regulatory requirements
Well developed understanding of the asset management industry
Excellent planning and organising skills
Stakeholder management skills
Ideal candidates will have a business focused approach to Asset Management Compliance.
This is a long term, highly rewarding contract for the right individual.