Description

• Provide advice and guidance to the business on regulatory and compliance issues as required (such as for instance MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance etc.)
• Analyse and interpret regulatory developments.
• Conducting risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintaining and developing the CMP processes, tracking action items to resolution, follow-up implementation of recommendations, writing reports including recommendations and providing appropriate management information on progress.
• Development and maintenance of management information.
• Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests.
• Maintain the core compliance regulatory registers.
• Draft and update internal policies and procedures in line with regulatory developments.
• Support the firm's compliance with Anti-Money Laundering (AML) requirements.
• Support the development and implementation of the firm's global compliance agenda in US, UK, Singapore and Hong Kong (no need for expertise in local laws).
• Support the development and implementation of the firm's compliance training program. Inform, advise and educate business units and senior management on all relevant compliance and AML matters.
• Any other ad-hoc projects as required.
• Be responsible for ensuring all information security processes, policies and procedures are adhered to and any issues or concerns are raised with the Cyber Security team.
• Ensure full compliance with all local data protection regulations and privacy controls, and any related issues are raised via the appropriate channels.

• Approximately 3 years', or equivalent, experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment.
  • Candidates will also have a good working knowledge of financial services regulation, in particular good knowledge of FCA and European rules as well as the communication and organisational skills necessary for the role.
  • Ability to work with a degree of independence and escalating issues when and if necessary.
  • Ability to interact with multiple levels in an organisation in an international environment
  • Ability to prioritize, multi-task, and manage expectations and time in a fast-paced environment with shifting demands.
  • Good organisational, research and project management skills.
  • Strong financial and business awareness.
  • Legal background would be advantageous.