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Job Details


Compliance Manager - Asset Class Advisory (Permanent)

Location: London Country: UK Rate: £70k - £80k per annum + negotiable

Compliance Manager, Asset Class Oversight

Principal Accountabilities:

  • Personally provide first class, commercially focused compliance advisory support to the business in respect of allocated asset class
  • Look ahead to and analyse emerging and developing regulation
  • Ensure that own activity is focused in order to best deliver risk based conduct risk and compliance value add whilst being curious and proactively.
  • Develop close working relationships with business stakeholders within asset class
  • Maintain an open and effective dialogue with all stakeholders
  • Work with the Head of Asset Class Oversight to ensure that timely, relevant and accurate conduct risk metrics/MI available for allocated asset class.
  • Ensure that Compliance policies and procedures are drafted, reviewed and updated in a timely manner
  • Provide detailed compliance and conduct risk advisory support and technical expertise
  • Through positive engagement with business stakeholders, ensure that appropriate processes, systems and controls are in place and that any risks and issues identified are escalated as necessary.

Knowledge & Skills

  • Exposure to direct investment management across asset classes. Good understanding of the end-to-end investment process.
  • Good understanding of global regulation and of compliance and conduct risk within an investment management environment.
  • Very good interpersonal and (both) report writing and verbal communication skills
  • Very good influencing and negotiation skills, ability to use influence and persuasion to resolve differences through to a satisfactory resolution.
  • Ability to nurture and promote effective working relationships with stakeholders
  • Very good relationship and stakeholder management skills -
  • Ability to remain independent and to demonstrate that independence whilst also providing commercial, practical and value-add solutions for the business

Previous relevant experience in a similar role is expected - this roleholder will be responsible for providing compliance advisory and support in respect of one of the following asset classes, and therefore in order to partner fully with the business detailed knowledge of at least one of the following is required:

  • Index
  • Active Equity
  • Active Fixed Income
  • Real Assets
  • Private Credit
  • LDI & Solutions
  • Multi Asset
  • Allocation Strategy Management

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Posted Date: 04 Dec 2019 Reference: JS-BBBH148567 Employment Agency: McGregor Boyall Contact: Liam Newton-May