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Compliance Advisory Associate Director

Date: 10 Sep 2019
Type: Permanent
Location: London
Salary: £ per annum
Email: duncan@taylorjamesresourcing.com
Ref: db954767

Investment Management Company are looking for an experienced Compliance person with a strong Advisory background to work at Associate Director level.

Ideally you will be

  • Solution oriented
  • Proactive with good communication skills (writing and oral)
  • Ability to positively engage with and influence stakeholders (in particular the Product and Sales teams)
  • Ability to work with challenging and thought provoking stakeholders
  • Ability to balance the need to maintain a degree of independence with the need to build strong “client” relationships
  • Ability to focus on core responsibilities but also remain sufficiently flexible to deal on occasions with new issues / priorities
  • Good knowledge of distribution, marketing and product related regulations, including:
    • Various selling regulations across jurisdictions – licences, fund registration, private placement, reverse solicitation
    • Fund regulations across various structures– UK, Ireland, Luxembourg
    • FCA/MiFID II requirements re product governance, TCF, distributor oversight, COLL, FUND
  • Good knowledge of Conflicts of Interest, Cost transparency, COBS and Wholesale Conduct

The role involves acting as a trusted adviser to the business by providing timely, sound and pragmatic advice and guidance on regulatory matters emanating from regulatory change and business queries/development. The primary focus of the role is to support the Sales and Product teams but the candidate will also be required to work on other compliance & regulatory matters and develop a suite of responsibilities and relationships as they grow into the role.


  • Regulatory requirements for selling products/services in new and existing jurisdictions (mainly EMEA) in conjunction with the Irish office.
  • Product governance framework oversight (product approval, on-going reviews etc)
  • Fund registration, private placement and reverse solicitation considerations
  • Fund documentation reviews e.g. prospectus / offering documents
  • Reviews of Distribution Agreements and Investment Management / Sub-advisory Agreements
  • Assist the Heads of Compliance and Distribution in Ireland with the implementation and oversight of the distribution oversight and compliance Programmes
  • Manage the Compliance team’s responses to requests from the RFP Team
  • Assist with applications to establish branches and liaise with the internal legal team and external counsel to determine the local regulatory requirements and use the legal advice to design new or amend existing policies and procedures
  • Work proactively with Sales and Product Teams on the implementation of new regulations helping to identify effective solutions that meet both regulatory expectations.
  • Maintain relevant documents and reports to support the above activities
  • Participate or lead presentations on regulatory changes to business units
  • Support the Head of Advisory on providing timely advice to Business Units on the following regulatory requirements: AIFMD, UCITS, MiFID II Organisational and Investor Protection, Asset Management Market Study and Cost transparency

Compliance Policies/Framework

  • Keeping Compliance policies and procedures up to date
  • Marketing sign-offs as required.
  • Produce new and/or amended Compliance policies and procedures as a result of regulatory or business change.
  • Input into the Compliance plan as required.
  • Undertake other Compliance processes as required.
  • Assist the Head of Advisory in designing and maintaining various Compliance Manuals

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