DIRECTOR/VP PMG ADVISORY TEAM, GLOBAL ASSET MANAGEMENT, C£90,000 PLUS BENS - CITY
Our client, a major Global Asset Managers is seeking a Director/VP within their PMG Advisory team part of the EMEA Compliance Department providing consultancy, monitoring and advisory services primarily to the European offices as well as supporting and working closely with colleagues in the US, Australia, Germany, Japan and Hong Kong. The role of Compliance is to provide excellent compliance service that supports the business profitability, promotes a strong compliance culture and helps protect the reputation of the firm through pro-active management of regulatory and reputational risks. The Compliance team provides support across all product groups, quantitative and fundamental Equity and Fixed Income, Hedge Funds, Alternatives, Securities Lending, Advisory services and Transition services.
Key Responsibilities
- Responsible for providing regulatory support and advice to the Front office; Equity, Fixed Income, Alternatives, Trading, Corporate Governance and Middle Office, including queries on allocations, inside information, new business initiatives, regulation, e.g. short selling and large shareholding
- Ensuring all activities within the various product groups meet regulatory requirements, e.g. advising on conflicts of interest, market abuse, best execution, fair allocation etc.
- Work with, and feed into other Compliance teams such as Monitoring and large shareholding disclosure
- Keep abreast of all regulatory changes that may affect the product areas, respond to consultation papers, ensure regulatory change is communicated and changes/controls are implemented where necessary
- Potential to work on new product launches and change initiatives and get involved in wider compliance initiatives
- Institutional marketing sign off
- Attending client and auditors visits
- Develop strategic knowledge of the business areas, manage and maintain key relationships at a senior level
- Management of a team may be required
Key Skills & Experience
- Significant asset management/financial services experience, including compliance/regulatory experience
- Funds knowledge, Luxembourg, Dublin and Cayman
- Knowledge of Fixed Income instruments and Alternatives a key advantage
- Knowledge of FSA regulations
- Ability to recognise key regulatory change, interpret it, assess its impact on product areas and communicate change in a business friendly way
- Ability to work with the business at all levels and develop strong relationships
- Well-developed inter-personal skills and strong influencing and communication skill
- Ability to multi task, manage and prioritise workload
- Experience of having managed or overseen others within a team
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