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Working as a part of the investment compliance team you will be directly responsible for providing professional and timely Compliance advice to the investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities. While reporting directly into Investment Compliance Advisory Manager, your responsibilities will include:
Providing advice and support to the business in relation to institutional product regulation
Regulatory rule interpretation as well as advising on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, US Investment Advisers Act etc.)
You will be working closely with the Regulatory Development team on regulatory changes with a markets/trading focus as well as advising the front and back office on transactional regulation and market facing issues
You will need to be able to advise the business on MiFID II and EMIR requirements and other markets/trading related matters
Supporting a range of regulatory change projects and business changes projects which have regulatory impacts
Technical input with regards to the development of regulatory training (e.g. market abuse, information barriers, conflicts of interest)
University degree and/or relevant industry qualification
Minimum of 2-5 years working experience of regulatory compliance experience within either Asset/Fund or Investment Management business
Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
Knowledge and experience of Financial Promotions or Monitoring Compliance is a benefit
Be a self-starter, high levels of initiative and a strong work ethic
Able to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner
Have strong communication skills
Be commercially aligned with a can-do attitude and pragmatic approach to the provision of advice
Be a team player, supportive, with a collegiate approach