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We’re recruiting for a Compliance Manager to join us. In this role, you will will work as part of the Compliance team to provide high quality advisory compliance support to the Asset Management UK Product Provider Oversight team. You will be required to provide independent compliance oversight, advice, guidance and training to Asset Management’s businesses, and specifically for Asset Management’s UK product providers and their range of UCITS and NURS funds, alternative investment funds and unit linked pension funds. The role will be working with an expert in these issues and will require good skills in preparing papers, presentations and data visualisation tools
Job Responsibility:
Providing written and oral compliance advice to Asset Management’s Marketing and Distribution teams on the promotion and distribution of UK collective and pension funds
Reviewing marketing materials and advising on marketing and disclosure requirements for UK funds within the Asset Management group
Participating in regulatory and business-led projects by assessing regulatory requirements, attending working meetings, and preparing compliance reports
Advising on product development, management, and distribution to ensure fair customer outcomes, regulatory compliance, and alignment with conduct risk appetite
Maintaining up-to-date knowledge of regulatory developments and assisting with responses to consultation proposals and regulatory change initiatives
Reporting necessary matters to product providers and attending relevant meetings as required
Building strong working relationships with business areas and risk/compliance teams to coordinate responses to regulatory developments affecting UK funds
Supporting the CCO and compliance colleagues by developing tools, promoting a strong compliance culture, and providing ad hoc team support
Requirements:
Good understanding of rules applying to UCITS and AIF Product Providers in the UK
Good knowledge of UK financial promotion and marketing rules, guidance and practice
Ability to analyze and advise on emerging regulatory risks and how they might impact our business
Regulatory knowledge and experience of FCA rules and practical application
Good knowledge of UK products and fund management activities
Experience of interpreting and applying regulatory rules to practical scenarios and helping to devise compliant, commercially acceptable solutions
Strong positive attitude and high energy
Experienced in presenting reports to senior management and clients
What we offer:
The opportunity to participate in our annual, performance -related bonus plan and valuable share schemes
Generous pension contribution
Life assurance
Healthcare Plan (permanent employees only)
At least 25 days holiday, plus public holidays, 26 days after 2 years’ service. There’s also the option to buy and sell holiday
Competitive family leave
Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice (permanent employees only)
There are the many discounts we offer – both for our own products and at a range of high street stores and online