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Compliance Advisory Manager - Investment Management

Investigo Compliance London, United Kingdom
Posted 8 days ago Permanent 50k - 80k
L
Posted by
Latiesha Uter
Recruiter
A global asset manager (UK HQ, £26bn AUM) is looking to hire a Compliance Advisory Manager. They need someone who can look at existing UK and EU legislation and advise the business on risks and practical applications.

Key responsibilities: 

  • Advising the business on policies and procedures
  • Financial promotion sign-off (including associated monitoring controls)
  •  Compliance related funds work related to in-scope jurisdictions eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID reviews
  • Implementing regulatory changes for in-scope jurisdictions
  • Regulatory reporting
  • Management of one junior compliance person

Successful candidates will have: 

  • 4+ years’ Compliance regulatory/advisory experience within UK financial services, preferably asset management/wealth management
  • Management experience (desirable)
  • Experienced in advising on UK and EU compliance policies 

 

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