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Compliance Officer - Investment Management - Vice President
Finance & Investment Industry Company
London, , United Kingdom
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Company Profile
Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Company can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
Background on the Team
MSIM is a foremost worldwide asset management business, offering investment management services to global investors in equity, fixed-income, asset allocation and alternative investment products including private equity, venture capital and real estate opportunities on a worldwide basis. MSIM offers its products through fund vehicles (such as UK OEICs, Luxembourg SICAVs and US Mutual Funds) and as separately managed institutional accounts.
The MSIM Legal and Compliance Division in London is responsible for providing legal and regulatory support for all aspects of the European, Middle East and Africa (EMEA) Investment Management business. We are looking to appoint a permanent, mid to senior position within the Advisory coverage group of the EMEA MSIM Compliance team in London.
Primary Responsibilities
You will be participating fully in the Compliance programme within the IM business, specifically with respect to advisory coverage responsibilities including:-
-Providing advice on all features of relevant Compliance procedures and policies
-Representing Compliance in new fund launches, closures and key amendments
-Investment policy interpretation
-Oversight of Regulatory filings and compliance with jurisdictional requirements
-Representing Compliance on Product working groups
-Providing technical guidance on existing and new regulation (MIFID, EMIR, MAR, AIFMD, etc.)
-Preparation and collation of Fund Board/Management Company Board reporting
-Providing ongoing training to Investment teams on regulatory topics
-Providing UCITS eligible asset advice to the business and Portfolio Compliance team
-Liaison with Central Compliance groups e.g. Financial Crime Compliance Unit
-Participation in Compliance reviews of parts of the MSIM business
Qualifications
Skills required (essential)
-You will have relevant Compliance experience in asset or wealth management ideally including exposure to retail funds (UK, Luxembourg and Ireland), although individuals with general investment, regulatory compliance experience will be considered.
-You will be driven and a good team player.
-You should have a sound knowledge of the FCA Handbook (in particular COBS), and relevant European legislation such as MIFID, UCITS and AIFMD.
-Your analytical and communication skills will be first rate.
-You remain composed under pressure, are able to effectively manage and prioritise a substantial workload, adhering to sometimes tight deadlines.
-You are comfortable operating in a dynamic environment involving liaison with MSIM colleagues globally and within Company’s Compliance division more broadly.
-Familiarity with the complexities of operating a global business model would be an advantage.
Company is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.