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.