Compliance Advisory Manager - Investment Management

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