Investment Management Compliance Business Partner

What will you be doing 

Were seeking a talented individual to join our team in London. Reporting to the Head of IM AM & General Advisory you will provide high quality compliance advice and training to the Investment Management leadership team to support the delivery of good client outcomes a compliant and risk aware culture and the strategy.

You will work collaboratively with other members of Advisory including but not limited to the Head of FP & Marketing Advisory undertake special regulatory projects as directed by the Compliance Director or Head of IM AM & General Advisory and support the delivery of the following activities: conflict checks Disclosure & Transparency Rules disclosure obligations Takeover Code disclosure obligations.

As Investment Management Compliance Business Partner your responsibilities will include among others: 

• Assist with the maintenance of an up-to-date compliance manual documenting all relevant policies designed to address relevant regulatory risks.
• Provide compliance expertise and advice to the Investment Management business unit on strategic decisions propositional developments and material new business initiatives always ensuring an appropriate focus on good client outcomes.
• Provide advice to line management and business stakeholders on how regulatory change initiatives will impact on the business model and strategy for the Investment Management business unit.
• Lead the production of regulatory training materials and provide compliance training to line management and business stakeholders on current or proposed regulation.
• Identify investigate and report on breaches and incidents ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
• Represent Compliance at governance forums including but not limited to IOC DWG and 3LoD Forum.

Qualifications :

To be successful in this role you should:

• Demonstrable experience in investment management within a wealth management firm 
• Substantial experience in compliance 
• Excellent understanding of relevant regulatory requirements in the UK including FSMA 2000 and the FCA Handbook LSE rules and the ISA Regulations
• Strong oral and written communication skills
• Strong inter-personal skills judgement and decision-making ability and a determined and proactive approach

Desired:

• Preferably degree educated
• Relevant industry qualifications would be an advantage

Additional Information :

As a colleague here at Evelyn Partners you will have access to benefits that include:

• Competitive salary
• Private medical insurance
• Life assurance
• Pension contribution
• Hybrid working model (role dependant)
• Generous holiday package
• Option to purchase additional holiday
• Shared parental leave

We are proud to value the differences that a diverse workforce brings representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and were delivering multiple diversity equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues regardless of identity background or circumstance feel respected as individuals and feel that they can achieve their full potential and work in a safe supportive and inclusive environment.

We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.

Remote Work :

No

Employment Type :

Full-time