Situation Vacant – Senior Compliance Executive (UK Product Compliance Advisory)

As one of the world’s leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world.

What we are looking for:

We are looking for our next Senior Compliance Executive based in our UK Product Compliance Advisory team in Henley-on-Thames.

You will act as the Compliance Advisory subject matter expert on regulation relating to the UK collective investment scheme products, operations and administration. Assisting with advising the business on new distribution initiatives.
You Will Be Responsible For:

  • Advising on the application of the UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting and Distribution Services.
  • Being the compliance relationship manager for Product, Fund Administration, Fund Accounting and Distribution Services
  • Being the representative for compliance on a number of governance committees, including the UK Dilution Committee
  • Acting as a contact point for queries from the relevant business areas
  • Advising on compliance regulations, rules and standards, thereby keeping stakeholder teams advised on regulatory developments
  • Inputting to written guidance for partners implementing compliance regulations, rules and standards through policies and procedures, and other documents such as compliance manuals
  • Encouraging awareness of a good compliance culture and effective conflicts of interest management and fair treatment of customers and the application of the Consumer Duty
  • Develop mutually supportive and collegiate working relationships with the wider Compliance team, Legal and Risk counterparts
  • Provide support to the Head of UK Compliance (SMF16) on relevant UK regulatory projects/one-off requests

The Experience You Bring:

  • Meaningful experience in Compliance, within asset management or financial services.
  • Experience of fund governance and distribution in the UK, including distribution channels and products (e.g. UCITS, AIFs, PRIIPS, Investment Trusts)
  • A good understanding of the rules within COBS/COLL/DISP/ESG/FUND/PRIN/PROD/SYSC
  • Know-how of the nature of the business and the regulatory landscape
  • Ability to build positive relationships with excellent communication skills
  • Strong eye for detail
  • Good organisational skills with ability to adapt and prioritize

For full details and to apply click here

0 comments

Leave a Comment

Want to join the discussion?
Feel free to contribute!

Leave a Reply

Your email address will not be published. Required fields are marked *