Compliance Advisory Manager - London, United Kingdom - eFinancialCareers
Description
Key responsibilities:
- Advising the business on policies and procedures
- Financial promotion signoff (including associated monitoring controls)
- Compliance related funds work related to inscope jurisdictions eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID reviews
- Implementing regulatory changes for inscope jurisdictions
- Regulatory reporting
- Management of one junior compliance person
- 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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