Rev & Regs is excited to be working with a global asset management firm to hire a Investment Compliance, Associate Director. It is a standout opportunity for a senior compliance professional to step into a high-profile role.

This is a permanent role which will play an active part in providing regulatory advice & interpretation and compliance support.

Responsibilities:

• This role is, expected to bring strong technical expertise to the team, and help to address Investment Management teams’ compliance needs and collaborate with other advisory and monitoring leads to deliver globally consistent and best in class compliance support.
• Keep abreast of emerging regulatory rules and announcements and make recommendations around policy, procedure and control implications.
• Proactively engage with the Investment Management functions, across all asset classes, and be responsible for delivering timely and high-quality compliance and regulatory advice to all stakeholders.
• Communicate relevant information to respective stakeholders and management forums.
• Respond to client issues and regulatory inquiries related to Investment Management activities.
• Support review of documents like the prospectus and investment agreements and provide comments/feedback to ensure they are compliant with regulatory requirements.
• Proactively engage with the Regulatory Reporting teams to provide timely and high-quality compliance advice on various matters related to trade, transaction and related regulatory reporting obligations.
• Keep informed of internal developments which impact regulatory requirements e.g. fund structures, new products.
• Contribute to building a high performing team.
• Develop and maintain a strong peer network as well as productive relationships with senior stakeholders by providing ex-pert support, quick issue resolution & confident challenge.
• Play an active role in educating stakeholders, in order to drive sustainable improvements in compliance culture.

Experience:

• Proven track record of delivering investment compliance advice focused on equities, fixed income and multi-asset instruments and Private assets preferable.
• Deep knowledge of the UK and European regulatory environment.
• Strong appreciation of specific, relevant regulation and legislation e.g. UCITS, MIFID, AIFMD, SFTR, EMIR.
• Relevant investment management qualification (e.g. Investment Management Certificate).
• Effective influencer, able to build productive relationships, while comfortable challenging and negotiating different view-points.

Duration: Permanent

Salary: £120,000 plus bonus

Location: Hybrid (3 days per week in City of London office)