THE COMPANY:

Our client is a leading advisory firm, providing investment management services for individuals, families, charities and institutions.

THE RESPONSIBILITIES:

Day to day responsibility for managing the UK compliance function to ensure compliance with FCA requirements, including:Compliance monitoring activity, covering applicable UK and US requirements.Regulatory reporting (for example, using the FCA GABRIEL system).Reviewing financial promotions and publications, including promotional material for the Funds and strategies.Reviewing suitability of private client portfolios.Preparing and assisting in the delivery of training and briefings.Supporting the business, providing advice and dealing with queries.Liaising with US colleagues in compliance and other areas, representing UK compliance in meetings.Assisting in the preparation of reports and committee papers.Participating in and managing projects relating to new regulation and new processes.Product governance and support for the institutional team in respect of the UCITS funds.Contributing to policy and procedure development, and maintenance of relevant compliance registers and documentation.EXPERIENCE REQUIRED:

8+ years of experience.Prior experience working in an asset management or wealth management compliance role.Familiarity with UK regulatory requirements, including FCA rules, money laundering requirements and data protection.Knowledge of SEC requirements and other jurisdictions would be an advantage.Excellent written/verbal communication skills.Exceptional attention to detail, good interpersonal skills, and an orientation towards the achievement of team goals.For further information please contact Spencer Evans#J-18808-Ljbffr