Senior Compliance Officer - Associate Director - Goodman Masson : Job Details

Responsibilities:

• Serve as the primary contact for Compliance matters, providing timely and accurate regulatory advice and support to the company's Global Business Development, Marketing, and Investment Teams.
• Offer guidance on Environmental, Social, and Governance (ESG) considerations and the global distribution of products and services.
• Advise on financial promotions for global distribution, including presentations, factsheets, white papers, website content, and other communications to prospects and investors.
• Provide counsel on general queries related to Requests for Proposals, ensuring that Compliance department standard responses are up-to-date.
• Collaborate with relevant business teams on new initiatives and projects.
• Maintain and update relevant sections of the departmental procedures manual.
• Advise on the implementation of regulatory developments across the firm.
• Assist in the development and maintenance of robust compliance control procedures for the company.
• Coordinate with global offices to ensure consistency in compliance standards.
• Provide ongoing support to maintain the accuracy of RCM for covered business areas and participate in compliance risk assessments.
• Conduct Compliance Monitoring for relevant business areas as needed.
• Stay informed of key regulatory initiatives and update business stakeholders accordingly; attend working and steering groups as required.
• Undertake project work and provide guidance to the business and senior management as needed.
• Collaborate with the Compliance team to manage the company Compliance training schedule, draft training materials, and conduct face-to-face training when appropriate.
• Review and create Compliance policies as needed.
• Assist in compiling and documenting Compliance Management Information for quarterly and monthly Board and Committee reports.
• Provide support to the company and the business in addressing issues identified through Compliance Testing, Internal Audit, and external regulatory reviews.
• Assist the Compliance Testing team in annual planning activities.
• Collaborate with the Compliance team and other stakeholders on various projects as required.

Skills:

• Extensive experience in the financial services industry, with a strong understanding of the Asset Management sector.
• Extensive experience in a role requiring in-depth knowledge of UK, EU, and SEC regulations and legislation relevant to Asset Management.
• Familiarity with ESG requirements and standards.

If interested, please apply. Alternatively, email

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