Compliance Officer

Location
London
Salary
Competitive
Posted
22 Jul 2021
Closes
21 Aug 2021
Contract Type
Permanent
Hours
Full Time

The Asset Management Exchange (AMX) is an institutional platform that gives investors, managers and innovators a better way to do business with each other.   AMX provides centralised back office and standardised fund infrastructure, reducing cost and resource duplication, delivering scale benefits to both sides of the market while increasing transparency and improving operational governance.   Launched in 2017, and owned by Willis Towers Watson, AMX is managed by a 90-strong team who negotiate with managers, transition assets, monitor strategies and add an extra layer of risk oversight. AMX is accessed by an online portal, AMXConnect, that enables investors, managers and innovators to interact seamlessly with each other in one place.

In your role as Compliance Officer, you will be responsible for regulatory compliance within the Irish and UK regulated entities and will work closely alongside our Legal and Risk teams. You’ll report to our Chief Compliance Officer and work closely with the UK Compliance Director to ensure compliance with Irish and UK regulations. You will also assist the Compliance team with meeting regulatory requirements in various jurisdictions such as the USA, Canada and South Africa along with other jurisdictions into which its funds are marketed.

We are flexible regards location - you can choose to be based in the UK or Ireland.

The Role 

  • Assisting with the implementation, execution and maintenance of AMX compliance procedures manuals, policies and standards, including those related to financial crime, to ensure consistency where possible and avoid duplication. 
  • Ensuring consistency (where appropriate) with wider Willis Towers Watson standards.
  • Enhancing and supporting business relationships, through active engagement on business needs and identification of areas of regulatory risk in order to inform compliance planning, assurance, advisory or policy/guidance activities. Participating in specific special projects and performs other duties as assigned.  
  • Providing assistance to the risk-based compliance monitoring programme including the tracking, reporting and resolution of recommendations with the business.
  • Supporting team members with regulatory change/best practice, whether internally or externally driven. This may include the provision of impact analysis reporting and or liaison with other compliance or business representatives including Willis Towers Watson colleagues as part of implementation work. This could be around SMCR, SFDR, EMIR and SFTR.
  • Enhancing compliance reporting to various senior management based on content generated across the region, in order to provide a clearer picture for management of regulatory risks both present and emerging.  
  • Providing support and development of the compliance function in identifying areas for automation, centralisation, including third party solutions where appropriate.
  • Supporting the design and delivery of regulatory training keeping your team and our employees up to date on regulatory change.
  • Representing Compliance in regular business dialogues, committees and boards. 
  • Working closely with compliance and the AMX risk team to ensure a co-ordinated approach is taken across the second-line-of-defence.
  • Collaborating with our legal team to ensure efficient sharing of know-how and expertise.
  • Assisting in enhancing and supporting business relationships, through active engagement on business needs and identification of areas of regulatory risk in order to inform compliance planning, assurance, advisory or policy/guidance activities.
  • Overseeing  FCA and CBI related compliance including regular reporting and filings to the regulators.
  • Managing 
    • SEC, CFTC/NFA and FINRA–related compliance.
    • Financial crime related compliance – AML and Anti-Bribery and corruption.
    • Marketing compliance: Ensure compliance requirements relating to marketing and financial promotions; devising processes and training to facilitate compliance; and advising on country-specific marketing requirements.
  • Participating in conferences of a compliance/regulatory nature.
  • Assisting with ICAAP and Pillar 3 disclosure and implementation of UK specific legislation following Brexit.
  • Participating in specific special projects and performs other duties as assigned.

The Requirements 

  • A solid understanding of FCA rules and the EU funds environment as applicable to an asset management business. Experience of CBI, SEC, CFTC/NFA and other regulatory regimes an advantage but not essential.
  • Knowledge of AIFMD / hedge funds and UCITS Regulations.
  • A good understanding of operational risk frameworks, risk assessment methodologies, policies and processes.
  • Vast experience working for an asset manager in an Advisory/Assurance/Central compliance capacity.  (Regulator or Regulatory Consultancy candidates with relevant experience would also be considered).
  • Organise and prioritise multiple tasks to successfully meet deadlines as well as being able to quickly understand and respond to new issues as they arise.
  • Proactive and tenacious in effectively supporting the team, whilst also being able to work independently to deliver to deadlines. 
  • Strong stakeholder and relationship management skills, given the role will include engaging with senior management and potentially the regulator.
  • Pragmatic and commercial but able to challenge when needed  
  • Excellent communication skills.

Equal Opportunity Employer

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