Senior Compliance Manager - Global Investment Solutions
- London, England, United Kingdom
- Contract, Full time
- Aviva Investors
- 02 Oct 17 2017-10-02
The Compliance Advisory Senior Manager will be a member of the UK Compliance Advisory Team providing advisory and technical support on all relevant UK regulatory requirements, UK and EU authorisations and related matters. In addition, the Compliance Advisory Senior Manager - GIS will act as the lead specialist advising and supporting the Aviva Investors Global Investment Solutions ("AIGIS") business area on regulatory matters (with the exception of financial crime compliance)
12 Month Fixed Term Contract
The Compliance Advisory Senior Manager will be a member of the UK Compliance Advisory Team providing advisory and technical support on all relevant UK regulatory requirements, UK and EU authorisations and related matters. In addition, the Compliance Advisory Senior Manager - GIS will act as the lead specialist advising and supporting the Aviva Investors Global Investment Solutions ("AIGIS") business area on regulatory matters (with the exception of financial crime compliance).
You are expected to proactively engage with both Senior Management and the business team to oversee and contribute to effective governance processes and robust conduct risk management. The role will involve ensuring that the business is clear on its regulatory business scope and responsibilities and to that end the role holder will facilitate and support any training as well as compliance matters such as conflict of interest, fair allocation, personal account dealing, gifts and hospitality etc as part of Compliance Operations.
- Lead provider of day-to-day focused compliance advice across AIGIS business areas, namely: Real Estate Finance, Infrastructure, Structured Finance and Private Corporate Debt. Involved in the provision of compliance advice and approval of relevant product development and modification across this range of client solutions
- Provision of compliance related advice and guidance to AI staff and senior management.
- Provide training to applicable management and staff as and when required.
- Provision of advice and support as required to AIGSL and AIPL across a wide range of compliance subject matters.
- By supporting the implementation and maintenance of a sustainable best in class Global Compliance Function for Aviva Investors.
- Responsibility for providing compliance advice and support to the AIGIS business both at a governance level and overseeing that conduct risks are appropriately managed.
- On-going involvement with Marketing and Business Development teams on financial promotions controls.
- On-going involvement for providing compliance advice and approval of product development and modification in AIGIS.
- SME for AIGIS relating to identification of conflicts and advice support on the management of them.
- Provide guidance and support on the implementation and/or enhancements of procedures and controls as necessary.
- Maintain a leadership role to support the business on regulatory change/impact and work closely with Compliance Regulatory Development team.
- Provide training to applicable staff across Aviva Investors, AIGIS.
- Support Global Head of Advisory Compliance and maintain strong links with the rest of the Advisory Team providing input and support as directed
- Provide advice and support to AIGSL and AIPL as required across a wide range of compliance subject matter, as directed by the Global Head of Advisory Compliance.
- Compliance and regulatory projects as they arise.
- Degree or equivalent level of industry and technical experience
- Extensive knowledge of UK and EU regulatory requirements related to asset management.
- Expert knowledge of Alternative Funds, Private Credit, Designated Investments and ability to understand and apply FCA regulations, especially SYSC, COBS and FUND.
- Knowledge of regulatory framework & products, particularly in relation to Alternative Income solutions eg: Infrastructure, Structured Finance, Real Estate Finance and Multi Asset Funds.
- Knowledge of Compliance best practice within the asset management industry.
- Microsoft Office Suite skills (Word, Excel, PowerPoint, Outlook.)
- Ability to work under pressure.
- Attention to detail.
- Fluent and influential verbal and written communicator with good skills in developing relationships, negotiating effective outcomes and working with staff at all levels.
- Experience in and ability to advise on regulations applicable to alternative funds business like income solutions, LDI, structured finance.
- Proven record in Advisory and direct business support.
- Significant involvement with statutory and regulatory issues affecting regulated business.
- Experience in 'related' product such as real estate.
- Knowledge of Commercial & Private Loans