Advisory Manager (Investments)

Competitive | Oxfordshire | Contract
Posted 18 days ago

Compliance Manager (Investments)
Henley
Salary Negotiable
3-5 months contract

InterQuest group are recruiting on behalf of one of their award winning investment & Asset Management clients for a Compliance Manager to provide advisory support to their investment team.
Responsibilities:
• Act as one of the primary point of contacts with the Investment teams in regards to advisory responsibilities, which includes providing support for staff training; providing day-to-day assistance for staff and participating in the establishment of new policies and procedures.
• Promote and enhance the compliance culture throughout IAML and the firm by building and focusing on our partnership with our investment teams through continuous demonstration of the Invesco core competencies.
• Provide assistance to investment and operational support staff in their day-to-day business and be available to answer questions arising out of daily business activity.
• Fostering awareness of a good compliance culture and customer outcomes, and effective conflicts of interest management.
• Pro-actively identify, document and assess the compliance risks associated with the firm’s business, including development of new products and business practices, new types of business or customer relationships, or material changes.
• Providing support for staff training, this should focus particularly on (a) the COLL sourcebook, (b) COBS, (c) and any other applicable regulations and (d) the internal policies and procedures of the firm.
• Training should be performed on a regular basis, and needs-based training should be performed where necessary. Training should be developed on an on-going basis so that it takes into account all relevant changes (for example, changes to any applicable regulations or relevant changes in the firm’s business model).
• Keep abreast of changing regulatory requirements by: Ongoing reviews of Invesco policies and recommending revisions to remain compliant to changing regulations; identifying affected policies and procedures and working with the applicable departments to revise, document and implement revisions; acquiring knowledge of new regulatory requirements and working with the Compliance Director to establish Compliance procedures.
• Actively lead or participate in committee meetings, working groups, projects with a view to establishing global best practices.
• Establish and support the department’s strategic direction, vision and mission in alignment with the Company’s strategy. Be responsible for visibly supporting the Company’s business initiatives and the initiatives of other departments.
• Provide due diligence representation and presentations as required to clients, internal and regulatory reviews.
• You may be required to work such additional hours as are necessary for the proper performance of your duties.

Experience:

• Substantial experience in Compliance, within the asset management or financial services, specifically in the Advisory function.
• Experience and exposure to advisory responsibilities, policy, procedures and processes.
• A demonstrated ability to understand a wide range of regulatory requirements applicable to investment managers, with the ability to implement appropriate procedures to comply with these requirements.

Knowledge:

• A good understanding of the FCA rules and guidelines
• A good understanding of the technical nature of the business

Qualifications:
• Degree qualified
• A professional qualification is desirable but not essential

Other Personal Attributes Required:

• Strong interpersonal skills to be able to work effectively with a network of colleagues
• Proven relationship management skills
• Able to operate effectively and succeed in a complex, non-hierarchical, entrepreneurial environment
• Able to motivate staff with whom there is no direct reporting relationship
• Personal credibility
• Resolves issues by escalation or decision, as appropriate
• Contributes effectively in meetings
• Displays well developed and effective negotiating skills
• Builds close working relationships with other areas of the business
• Is clear, articulate, credible and persuasive in all communications
• Liaises effectively at all levels, internally and externally
• Shares product expertise with colleagues
• Maintains high standards for written and verbal presentations
• Effective time management skills
• Excellent interpersonal skills, highly organised
• Ability to work under pressure
• Excellent team player
• The ability to interact with senior management and investment professionals
• Strong written and oral communication skills

For more information about this role, please contact:

Vashanta McKenzie

vashanta.mckenzie@interquestgroup.com
0161 237 0065

See Vashanta McKenzie's jobs
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