Regulatory Compliance Advisory
We are currently representing a leading global investment firm, providing investment solutions and services to a wide array of clients. The firm operates in 20+ countries and manages assets exceeding $500 billion.
Responsibilities:
- Offer regulatory advice and compliance support across various asset classes such as Equities, Fixed Income, and Multi-Asset.
- Provide timely and high-quality compliance and regulatory guidance to stakeholders including Portfolio Managers, Traders, Product, and Institutional teams.
- Stay informed about new regulatory rules and industry trends, and suggest policy, procedure, and control changes.
- Address client issues and regulatory inquiries related to Investment Management activities.
- Review documents like prospectuses and investment agreements to ensure they meet regulatory standards.
- Work with Regulatory Reporting teams to offer prompt compliance advice on trade, transaction, and reporting obligations.
- Assist monitoring teams in mitigating compliance and legal risks and contribute to a robust control culture.
- Understand and explain differences in local regulatory requirements and strive for global consistency.
- Collaborate on projects to develop compliance solutions and enhance processes for efficiency and risk reduction.
- Build and maintain strong relationships with senior stakeholders and represent the compliance team in formal committees and governance forums.
- Educate stakeholders to promote sustainable improvements in compliance culture.
Qualifications:
- Proven experience in providing investment compliance advice for equities, fixed income, and multi-asset instruments.
- Extensive knowledge of the European regulatory landscape.
- Strong understanding of relevant regulations and legislation such as MIFID, AIFMD, SFTR, and EMIR.
- Relevant investment management qualification (e.g., Investment Management Certificate).
- Effective influencer with the ability to build productive relationships and negotiate different viewpoints.
- Collaborative problem-solver capable of navigating ambiguous and shifting priorities.
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