Compliance Advisory Investment Management

30 Apr 2021
28 May 2021
Job Type
Employer Sector
Accountancy Practice
Contract Type
Full Time
Our client is one of the world's leading and most renowned Asset and Investment Management organisations. The opportunity has arisen for an experienced compliance professional with extensive asset management or investment banking experience within a control function.

This role will initially be on a 1-year interim basis with the likelihood of permanent work thereafter.

THE ROLE: Compliance Advisory Investment Management

Supporting the head of the team and global counterparts in providing qualitative compliance advice to all business units comprising TLL (Trading Lending & Liquidity Unit) ensuring that regulatory issues are properly dealt with or escalated appropriately;

•Liaising with traders and other investment staff on regulatory matters including the eligibility of instruments within portfolios and the application of compliance policies, e.g. error correction, fair allocation, best execution, inside information,

crossing and wall-crossings, MiFIR trade and transaction reporting, short selling, EMIR and SFTR.

•Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practice wherever possible;

•Providing support to business operations functions on regulatory reporting issues;

•Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy;

•Working on, and leading where required, specified

compliance projects and initiatives; in connection with the interpretation and implementation of new regulation (e.g. CSDR)

•Advising and overseeing new business initiatives

•Leading Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives

•Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate boards, business stakeholders and business Oversight Committees

•Providing advice on the anticipation, impact assessment and response to regulatory development

•Designing and delivering effective regulatory training

initiatives to the business

•Acting as the team lead on best execution oversight task forces

SKILLS / EXPERIENCE REQUIRED: Compliance Advisory Investment Management

At least ten years' experience within a control function within the asset management industry or Investment bank within Compliance or Legal.

•Demonstrable ability to drive issues to conclusion through the provision of thought leadership, advice and recommendations to stakeholders.

•Ability to influence a highly-performing internal client base by delivering timely, credible, accurate and value- added advice.

•Is clear and effective in communicating and is able to influence an audience and show leadership.

•Able to consistently demonstrate high standards of professional accuracy and excellent attention to detail.

•Can take ownership of business coverage and subject matter expertise and strives to consistently perform at the highest level.

•Self-motivation, the ability to work autonomously and high energy levels.

•The technical ability and mindset to deliver a solutions- driven approach and the judgment to use this in appropriate circumstances.

•Excellent organisational skills with ability to prioritise workloads, progress multiple tasks and adhere to deadlines.

•Ability to collaborate effectively both within the team and across functions.

•The strength of character to offer constructive challenge.

•High degree of familiarity with regulatory environment and a genuine desire to continually develop such knowledge

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