Description
Role: Regulatory Advisor
Location: London, UK
The Regulatory Advisor is responsible for providing support to the business advisory team in their engagement with relevant business and/or infrastructure areas. They typically have daily interaction with key stakeholders and have a regional and/or country coverage.
Your key responsibilities
* Lead on the planning and delivery of a risk based Compliance Monitoring Programme (CMP) for the UK Traditionals and Distribution business
* Identify any regulatory risks while carrying out these monitoring reviews. Ensure mitigating actions are agreed with the relevant business area, and completed within the agreed timescales
* Maintain detailed knowledge of relevant rules and legislation to aid in the interaction with business areas as part of the CMP and within Compliance projects
* Produce management information for the UK Board Risk Committee, and regulated entities.
* Take responsibility for allocated compliance projects, and represent the Compliance team in business meetings
Your skills and experience
* Professional qualifications relating to investment management and compliance preferred
* Some knowledge of UCITS and ETF business areas
* Understanding of institutional regulatory requirements in an asset management context preferred
* Good analytical skills and industry awareness including of emerging regulation to identify the impact on the business areas and developing strategies
* Experience in financial services compliance in a monitoring/audit function preferred