We are currently recruiting for a compliance advisory consultant to join a leading Asset Management firm based in the City of London with UK assets of approx. £170 billion. This role will be there to provide advisory around a number of issues including regulation.
The role will include but not be limited to:
-Ensure relevant individuals are fully aware of the parameters of their authorisation and have gone through the relevant "authorised signatory and approved persons process"; -Maintain Authorised Signatories schedule; -Provide advice in event of compliance/regulatory breaches and advise business on appropriate course of action; -Advise on any market abuse questions; -Maintain insider and restricted lists; -Annual review of all compliance policies; -Development of any new Compliance policies; -Provide advice on application of Compliance policies -Provide advice on application of Code of Ethics; -Refer relevant questions to, and work with, Financial Crime Prevention Unit to undertake relevant financial crime risk assessments ; -Provide advice on actual/potential fraud; -Provide advice on, and document, conflicts; -Provide Regulatory Advice -Deliver training on new Policies and regulatory hot spots
The idea candidate is likely to have:
-A proven Track record in Compliance Advisory or Compliance Generalist capacity for a regulated entity within the Financial Services industry. -Asset Management experience would be beneficial but candidates with investment banking and hedge fund experience will also be considered. -Good drafting and presentation skills essential. -Experience in working with senior business stakeholders imperative.
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