An exciting opportunity has arisen for a Director to join and lead an AIF Compliance Advisory team in a leading Investment Manager. The ideal candidate will have broad private side alternatives knowledge and be a an accomplished senior compliance professional.
A global Investment Management business
- Supporting the head of the team and global counterparts in providing qualitative compliance advice to all business units ensuring that regulatory issues are properly dealt with or escalated appropriately;
- Liaising with relevant parties on regulatory matters including the eligibility of instruments within portfolios and the application of compliance policies, e.g. error correction, fair allocation, best execution, inside information, crossing and wall-crossings, Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practice wherever possible;
- Support the Capital Markets Team on regulatory matters including advising on application of Information Barrier policy, Restricted Lists and regulatory requests for information;
- Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy;
- Working on, and leading where required, specified compliance projects and initiatives; in connection with the interpretation and implementation of new regulation
- Advising and overseeing new business initiatives.
- Active participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives;
- Representing Compliance throughout the Product Development process of Alternatives products, including review of fund documentation and provision of regulatory advice as it relates to conflicts of interest, risk factors and legal structure considerations;
- At least ten years' experience within the asset management industry or Investment banking working in Advisory Compliance
- Strong AIF knowledge as this person will be the SME in the alternatives space
- Preferable if the individual has worked in a role supporting investment teams operating within both the public and private markets;
- Demonstrable ability to drive issues to conclusion through the provision of thought leadership, advice and recommendations to stakeholders.
- Ability to influence a highly-performing internal client base by delivering timely, credible, accurate and value-added advice.
- Is clear and effective in communicating and is able to influence an audience and show leadership.
- Able to consistently demonstrate high standards of professional accuracy and excellent attention to detail.
- Can take ownership of business coverage and subject matter expertise and strives to consistently perform at the highest level.
competitive package, excellent brand name, a newly created role to define and grow.