Front Office Compliance Manager - Royal London Asset Management
Royal London is the largest mutual life, pensions and Investment Company in the UK, with Group funds under management of £114 billion and latest ProfitShare pay out to members of £142 million. Group businesses provide around 9.0 million policies and employ 3,669 people. (Figures quoted are as at 10 May 2018).
Founded as a Friendly Society in a London coffee shop in 1861, Royal London started out with the aim to help people avoid the stigma of a pauper’s grave. Since then we have been helping people help themselves and are committed to delivering the best value for customers and putting members first.
We have an exciting permanent opportunity for a Front Office Compliance Manager to join the Compliance Business Partners team in London.
The main purpose is to be a client centric face of the Compliance Business Partners team providing advice and guidance on COBS, FUND, COLL, MAR, relevant sections of SUP and the Irish Funds rules.
• Provide guidance and support, with 2nd line Compliance, to the equity teams on key technical areas of regulatory change and industry best practice.
• Prepare papers for the relevant Board, Committee and Working Group meetings in respect of compliance matters.
• Engage with the Compliance monitoring team to review scope of reviews, support field work and review findings and proposed actions
• Work with the Front Office to address relevant findings and actions from compliance and internal audit reviews as appropriate
• Undertake any close and continuous first line monitoring of key areas of compliance and risk investment team e.g. conflicts, best execution, market abuse
Skills, Qualifications & Experience:
• Experience in an operational asset management environment (UK and Ireland) based in a Compliance role. Knowledge of investment matters in UCITS and AIFMD
• Prior experience of investments activities in an asset management business within a Compliance advisory and monitoring role
• Understanding of UK, Irish and EU compliance and regulatory requirements
• A confident and effective communicator that can manage stakeholders
• Ability to effectively prioritise workloads and work to tight deadlines
• Organised and ability to multi task
Royal London is an equal opportunities employer. We work hard to attract the best talent for our award-winning team. We believe that embracing difference makes us stronger. Our diverse people bring us different skills – whatever their educational background, disability, gender, age, sexual orientation, race, religion or belief.
We will consider flexible working arrangements for all our roles. We also welcome applications from individuals who have taken an extended career break.
For further information about this position please contact firstname.lastname@example.org