Our client is one of Europe’s largest fund managers focusing exclusively on investment in clean energy infrastructure.
Provide advice and guidance to the business on regulatory and compliance issues as required (Market Abuse, Conflicts of Interest, Inducements, Personal Account Dealing, SMCR);
Assist in the development and maintenance of compliance policies related to the Ethics Office and Central Compliance programme;
Support new hire onboarding onto our Compliance programme and online systems;
Assist in the creation, enhancement and completion of required monitoring programme for Europe and APAC and provide a point of contact for Compliance Officers in other US, Europe & APAC offices regarding the management data and metrics for reporting purposes.
Monitoring activities include but are not limited to:
Employee trading activity;
Gifts, meals and entertainment reviews and approvals and post activity monitoring;
Conflicts of Interests and Outside Business Interests;
Support the Compliance training programme, including but not limited to:
Liaise between the Central Training team and Compliance training sponsors;
Development or enhancement of compliance training content;
Identification of assignment population for training enrolment;
Monitoring completion rates and where required issue reminders or late training notifications;
Collate statistics for reporting to relevant Boards or committees;
Assist in various ad hoc compliance projects and initiatives as required from time to time;
Assist in relation to Regulator Relationship Management by coordinating the submissions of regulatory reporting and notifications where required;
Support the maintenance of UK SMCR framework for the entities in scope, including developing and delivery training as required.
Prior Compliance experience gained through previous roles within institutional investment management industry, specifically in relation to Code of Ethics programme and Employee and central Compliance matters.
Experience in undertaking monitoring reviews and performing control oversight.
Strong understanding of financial markets and current regulatory framework in the UK and Europe, including MiFID II, Market Abuse regulation and SCMR.
Compliance related qualification desirable.
For further information please contact Debbie Meddes