Rev & Regs are recruiting for a new 'Senior Compliance Advisory Manager - Investments' position working for a leading global Asset Manager in London.
Role Overview:
We are seeking an experienced and commercially focused Investment Compliance professional to join our Global Investment Compliance (GIC) team. This role will provide strategic compliance advisory support to Portfolio Management, Product, Institutional and broader investment support teams across a range of investment products and mandates.
The successful candidate will combine deep regulatory expertise with strong stakeholder management capabilities, delivering timely, practical and risk-based compliance guidance in a fast-paced investment management environment.
Key Responsibilities:
Delivery & Advisory
- Partner closely with investment personnel and support teams to understand investment strategies, operational considerations and the impact of investment guideline interpretations on portfolio management activities.
- Deliver timely, accurate and commercially pragmatic compliance advice to Portfolio Management teams and associated business stakeholders.
- Support Product and Institutional teams with the onboarding and launch of new institutional mandates and investment products, collaborating with Legal, Compliance and GIC colleagues to ensure compliant and efficient implementation.
- Demonstrate strong proficiency in Charles River (CRD), including interpretation and oversight of compliance rules coding for complex investment strategies, fixed income securities, FX and derivatives.
- Maintain and update compliance and restricted lists within Charles River, including supporting market conduct controls and pre-trade compliance monitoring.
- Review prospectuses, Investment Management Agreements (IMAs) and related documentation to ensure alignment with internal policies, client guidelines and applicable regulatory requirements.
- Monitor emerging regulatory developments and industry trends, assessing implications for policies, procedures and control frameworks.
- Work collaboratively with global advisory and monitoring teams to identify opportunities for process improvement, efficiency and best practice implementation.
- Support the design, implementation and monitoring of compliance metrics, reporting and KPIs.
- Promote a strong compliance and control culture, ensuring legal and regulatory risks are effectively identified and mitigated.
- Proactively identify potential risks, conflicts or operational challenges and drive effective resolution before they impact delivery.
About You:
- Proven experience delivering investment compliance advisory support across equities, fixed income and multi-asset strategies.
- Strong understanding of investment management regulations within the UK and European regulatory environment.
- Deep knowledge of key regulatory frameworks including UCITS, MiFID, AIFMD, SFTR and EMIR.
- Experience working with Charles River (CRD), including pre-trade compliance monitoring and rule interpretation.
- Knowledge of alternative assets and active ETFs would be advantageous.
- Excellent written and verbal communication skills, with the ability to provide clear, concise and practical guidance to a wide range of stakeholders.
Salary: £100,000-£110,000 pa
Location: City of London, 3 days a week office.