MERJE
Compliance Manager (Advisory)
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MERJE are thrilled to be partnering with one of the UK’s largest asset management firms as they look to expand their Advisory capability with the addition of a Compliance Manager to report to and support the Head of Compliance & MLRO. Located in central Leeds, the firm offer a hybrid working policy alongside an excellent benefits package and very competitive base salary.
Purpose of the role:
The Compliance Manager (Advisory) provides appropriate challenge to the business and senior leadership in respect of regulatory risks, and compliance with designated regulation and/or legislation, as well as overseeing that associated policies, procedures and controls are in place and operated. The role holder provides expert advice on regulations and regulatory change, in support of our business operations and strategic initiatives.
The manager more generally supports the Head of Compliance and MLRO, in ensuring that effective compliance oversight is planned, performed and reported, and for providing associated ongoing guidance and support to the business.
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Responsibilities
- Provide practical compliance advisory support to the business across FCA regulatory requirements, including COBS, SYSC, COLL, FUND, AIFMD and CASS.
- Act as a trusted adviser to the first line, delivering timely and commercially focused regulatory guidance on business activities and change initiatives.
- Support regulatory input into new products, fund launches, strategic initiatives and business change programmes, ensuring regulatory risks are identified and managed throughout the project lifecycle.
- Monitor and interpret UK regulatory developments, assessing business impact and communicating regulatory changes to key stakeholders.
- Advise on regulatory requirements relating to investment management activities, governance and operational processes.
- Prepare high-quality compliance reports and papers for senior management, governance forums and Board committees.
- Design and deliver compliance training to promote regulatory awareness and strengthen the firm's compliance culture.
- Build and maintain positive relationships with regulators, auditors, depositaries and key internal stakeholders.
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Candidate requirements
- Experience providing expert advice on regulatory compliance and conduct matters, within an investment management company, or equivalent.
- Experience of a management role, maintaining/overseeing effective compliance and conduct-related control frameworks at a regulated investment manager/asset owner, or equivalent experience.
- Good awareness of regulatory, conduct, financial crime, and market abuse issues, and how they can impact financial services companies.
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