Compliance Advisory (6 month FTC)
A superb opportunity has arisen to join the Fund Risk and Compliance Advisory team at a global asset manager. Initially a short term contract, the successful candidate will be an advisory expert and will also have experience with distribution and financial promotions.
- Review and investigated incidents such as breaches relating to fund pricing and investment restrictions
- Provide compliance input to business and regulatory projects ensuring that full consideration is given to new and existing regulatory rules, as appropriate
- Liaise with depositaries in relation to breaches or investment restriction monitoring/ securities eligibility queries in relation to managed funds
- Provide compliance input into RFP’s and other information gathering exercises from potential/ existing Clients
- Coordinate responses to requests from regulators, depositaries, auditors and Clients for information
- Assist with the review of the marketing materials and other documentation, including KIIDs with consideration to reg requirements including those of regulatory bodies and the FCA’s treating customers fairly principles
- Candidates without proven advisory experience within asset management cannot be considered for this role
- Excellent knowledge of UCITS is highly desirable
- Knowledge of UK and EU marketing rules and familiarity with SEC requirements is highly desirable
- Outstanding written and verbal communications and an ability to build relationships across stakeholders
- Generally technologically proficient (MS Office suite etc)
This is an excellent opportunity for a compliance advisory specialist to work with an elite asset manager on a project with outstanding prospect.
For more information on this or any other roles within financial services, please reach out to Thomas Brogden (Thomas.email@example.com)
Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons – men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.