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    • Senior Compliance Advisory Manager - City Of London, England - Rev & Regs

    Rev & Regs
    Rev & Regs City Of London, England

    2 months ago

    Description

    Rev & Regs
    are recruiting for a
    Senior Compliance Advisory Manager
    position for a global asset management company in the City of London.

    You will play an active role in providing regulatory advice & interpretation and compliance support to teams in the UK, Ireland and Continental Europe cutting across all asset classes namely Equities, Fixed Income and Multi-Asset.

    The individual for this role is expected to bring strong technical expertise to the team, particularly focusing to improve the quality and coverage of end-to-end portfolio compliance advice to respective business stakeholders in the UK, Ireland and Continental Europe.

    Responsibilities:

    • Collaborate with investment personnel and their support teams to understand their perspective and the impact of investment guideline issues and interpretations on the investment process.
    • Acts as a partner to Product and Institutional teams, supporting the onboarding/launch of new institutional mandates and products.
    • Demonstrate proficiency on Charles River (CRD), demonstrate experience and ability in interpreting compliance rules coded in CRD, particularly with respect to complex investment strategies, fixed income securities, FX, and derivatives.
    • Assisting with pre-trade alerts and queries in Charles River and maintenance of the restricted list related to market conduct.
    • Review the prospectus and IMAs to ensure they are consistent with internal guidelines and regulatory requirements as part of new onboarding calls or fund changes.
    • Understand and articulate differences in local requirements.
    • Keep abreast of market trends around client mandates, how they impact portfolio strategy, and how regulators are responding.
    • Monitor emerging regulatory rules and announcements and make recommendations around clear policy, procedure and control implications.
    • Responding to client issues and regulatory inquiries related to Investment Management activities.
    • Work closely with other advisory and monitoring colleagues, to identify improvement opportunities, actively drive efficiency, consistency and best practice globally.

    Experience:

    • Self-starter who can work in a fast-paced environment under time critical deadlines with competing priorities and who is able to manage expectations of key stakeholders.
    • Strong appreciation of specific, relevant regulation and legislation e.g. UCITS, MIFID, AIFMD, SFTR, EMIR.
    • Proven track record of delivering investment compliance advice focused on equities, fixed income and multi-asset instruments.
    • Someone with alternative assets and active ETF experience would be advantageous.
    • Deep knowledge of the UK and European regulatory environment.
    • Ideally a relevant investment management qualification (e.g. Investment Management Certificate), but not essential.

    Location: Hybrid (3 days per week in City of London office)

    Salary: £110,000 + bonus + benefits package

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Senior compliance advisory manager