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VP - Compliance Advisory Officer

Job Seekers United Kingdom Compliance

Job Summary

  • City of London
  • Contract
  • BBBH764199
  • Aug 06, 2020
  • Competitive
Job Description

VP - Compliance Advisory Officer

Morgan McKinley are recruiting for a 12 month contract for a leading fianncial services firm within the City.

The role will be mainly focused on supporting and acting as a compliane advisory point to the various businesses involved in the delivery of bespoke solutions (products and services) to the firms institutional clients, an important area of growth for this business.

Key duties:

- Strong contribution to the Compliance Team's provision of qualitative compliance advice, advisory support and oversight.
- Stakeholders management (e.g. MASS Investment and Business Management Teams, Sales & Distribution channels, Legal, Client Contracting, Tech & Ops, etc.).
- Promote a first-class compliance culture.
- Participate in client due diligence visits, prospective client sales meetings and direct conversations with clients where required
- Review new/amended IMA's to comment on any compliance concerns Client Contracting seek support with
- Work on new business initiatives to assess impact and ensure appropriate frameworks are put in place
- Support the launch of new products and solutions for clients e.g. regulatory advice to the business on UCITS/NURS/AIFMD, pre- and post-trade monitoring, distribution matters, ESG matters, etc.
- Participte in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice
- Advise on relevant regulations and on the application of the firms compliance policies in relation to existing and new business initiatives, issue identification and management and breach resolution.
- Contribute to the creation of management reporting and communication on Compliance matters to senior management, corporate and/or fund boards and business stakeholders.
- Design and deliver effective regulatory training initiatives to the business.

Skills:

'- Relevant experience within a control function, ideally within the asset management industry and within Compliance or Legal. Experience in wealth management would be a great plus for this role.
- Experience of working in the financial services industry across a wide range of products.
- Experience of Financial Services Regulations, ideally as they relate to asset managers (e.g. FCA Rules, UCITS, NURS, AIFMD, MiFID requirements).
- Strong communication skills with an ability to articulate complex regulatory matters and well-developed relationship management skills.
- Technical ability and mindset to challenge the status-quo and deliver a solutions-driven approach and the judgment to use this in appropriate circumstances.

If you feel you have the relevant experience for this role, either please apply through the advert or by sending your profile to me at chawkins@morganmckinley.com

Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.

BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

Consultant Details

Consultant Details

Caleb Hawkins
Caleb Hawkins
  • Head of Compliance & Legal Temporary Recruitment
  • +44 20 7092 0233
  • chawkins@morganmckinley.com