COMPLIANCE ADVISORY MANAGER – ASSET/FUND MANAGEMENT COMPLIANCE EXP REQUIRED
Ref:4089D
We are recruiting a compliance advisory manager for our client, a leading Investment Management Group. Providing advice and guidance to a portfolio of Appointed Representatives (“ARs”) and junior colleagues, duties will include:
* Leading ongoing and ad hoc tasks as required, particularly around signing off financial promotions and compliance reviews.
* Developing deep relationships with the portfolio of clients and meeting their needs; identifying client risk.
* Resolving issues raised by other members of the team and providing technical QA on the work products of others.
* Being responsible for identified technical areas relating to AR activities or implementing changes in regulation as directed.
* Assisting with devising and delivering the business plan for the Client Advisory team and contributing to meeting team objectives.
* Management of business lines or other members of the Client Advisory team.
* Enhancing own understanding of the regulatory landscape and offering learning opportunities for others.
* Following the set policies and procedures around managing conduct risk, financial promotions, and product governance.
You should have several years of broad-based experience in a compliance role in asset/fund management, whether in a regulated firm or from a compliance consultancy. This must include good knowledge of suitability & financial promotions and some knowledge of CD, with the ability to interpret complex regulatory standards and turn them into policies, processes, or procedures that can be implemented in the business.
If that sounds like you, please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no). Please note that we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) is acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
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