Description
Mifid II Consultant Compliance Asset Management Project Support Investment Management FCA
Our client is one of the worlds leading Investment Management organsiations. Due to sustained pressure on their existing compliance department a Mifid II consultant is required to assist on an interim basis. This is a large organisation with a healthy proect pipeline so extension beyond the initial duration is highly likely.
THE ROLE:
- Implementation of complaints, inducements (non-monetary benefits) and knowledge and competency MiFID II workstreams:
- Reviewing and revising associated policies/drafting new policies where required
- Assisting with the design and evolution of process and procedure documentation
- Assisting with the design and evolution of technology developments required as part of the MiFID II complaints workstream
- Oversee the implementation of MiFID II inducements (non-monetary benefits) disclosures into the applicable client documentation
- Delivery of training on policy/process changes to impacted individuals across the organization
- Project management status updates on relevant MiFID II workstreams (complaints, inducements and knowledge and competency)
- Providing support and advice to employees regarding the above subject matters.
- Participation in other compliance projects which relate to the above MiFID II workstreams.
EXPERIENCE REQUIRED:
- Asset management business or investment banking environment
- Strong general Compliance experience
- MiFID II's complaints, knowledge and competency and inducement requirements
- FCA's complaint handling rules
- FCA's gift and entertainment rules
- FCA's APER and T&C regime
- Experience of other European fit & propriety regimes would be beneficial.
SKILLS REQUIRED:
- Project management - experience of owning, driving and delivering projects.
- Ability to prioritize project milestone priorities and recognize potential risk areas
- Quickly develops relationships with individuals in order to achieve project milestones
- Clear verbal communication of complex scenarios
- Strong written English
- Use of project management progress reports
- Maintaining positive working relationships with multiple stakeholders concurrently
- Implementation of change in a complex organisation
- Ability to work in and enjoy a fast paced and challenging working environment.
DESIRABLE SKILLS:
- Experience of working with teams internationally
- Other EU implementation project experience eg AIFMD