Compliance Advisory Manager - Derivatives

Central London
Highly Competitive
10 Jan 2017
10 Feb 2017
Contract Type
Full Time

A top tier Financial Services organisation (Asset Management / Investment Bank) located in Central London require a Compliance Advisory Manager possessing strong knowledge and experience of derivatives. Primarily responsible for advising the investment management business on its regulatory and legislative requirements. Working as part of an established team in new cutting edge Central London offices you will be rewarded highly and be provided with substantial career progression opportunities.

Responsibilities include:

  • Advice and support to the business in relation to institutional product regulation. Regulatory rule interpretation, advise on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, COLL, FUND etc.)
  • Advise the front and back office on transactional regulation and market facing issues, transaction and other regulatory reporting
  • Advise the business on EMIR requirements and other derivative related matters
  • Support a range of regulatory change projects (e.g. MiFID II, MAR) and new fund / product launches
  • Client support activities (e.g. RFP input, client pitches and visits)
  • Complete due diligence when the organisation seeks to invest in a new market or instrument
  • Support input into the delivery of regular Compliance Department reporting to relevant Boards and governance committees

Skills & Experience

  • Extensive work experience of delivering Compliance advice in an institutional asset management or investment banking environment and a strong working knowledge of derivatives and EMIR is ESSENTIAL
  • Knowledge and awareness of US, UK and European regulatory environment

This is an exceptional opportunity with a globally renowned financial services organisation, for further information and to register your interest please do apply with your full CV details.