The Investment Compliance Manager will support the Head of Investment Compliance with the provision of compliance advice and support to the investment / fund management and business development teams within the asset management division of Close Brothers.
Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
Attendance at the sub- Investment Risk and Compliance governance committees, including assembly of the pack and recording the minutes.
Conduct new joiner compliance inductions.
Prepare and deliver regulatory training when required.
Provision of pro-active compliance advice, training and support to the Investment management, Business Development, Marketing and IFA Sales teams.
Awareness of new regulatory requirements and working with the business to develop and implement compliant solutions.
Work in partnership with the business to improve processes and procedures to mitigate regulatory risk.
Compliance expertise on Funds and other products such as ISAs, SIPPs and Offshore Bonds.
Representing Investment Compliance at relevant CBAM, Group and external meetings / committees.
Preparation of investment compliance MI for governance committees.
Support to Head of Investment Compliance.
Regulatory Responsibilities (Compliance/T&C)
Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.