• 13 October 2008
• Reference: JR202755

• Policy Director

• South East England Excellent Permanent
• Benefits: excellent

My client is an established provider of asset management, serving the investment needs of individuals, institutions and advisers, providing mutual funds, defined contribution pensions, segregated portfolios and multi-manager products. Due to recent expansion they are seeking a Associate Director. Based in my clients Surrey or Kent offices you will be reporting to the Director of European Regulation. Key responsibilities and duties of the role will include;

*Proactively identifying regulatory change and communicate changes to ensure these are properly implemented.
*Ensure that the compliance monitoring programs of the monitoring team are complete.
*Assist in impact analysis and resolution of breaches.
*Interpret regulations and assess their impact on company strategy.
*Support development and amendment of regulatory policies.
*Prepare training materials and provide targeted regulatory training.
*Maintain appropriate interaction and communication with key regulators on strategic issues.
*Report to key stakeholders and other governance groups on adherence to group policies and local regulations.
*Identify and proactively interpret complex changes to United Kingdom regulations - predominantly FSMA, COBS, COLL, SUP and FSA prudential source books.
*Communicate requirements to oversight groups ensuring adequate resource is allotted in a timely fashion to implement required changes.
*Develop regulatory policies and ensure these are communicated, trained and adhered to by the business units.
*Monitor the effective management to resolution of material breaches by local compliance and business senior management.
*Draft reports on regulatory issues or matters for senior management as and when required.
*Provide technical advice, and where appropriate training, to oversight groups to help ensure compliance groups are equipped to perform their duties.

Ideally you will be degree educated with a in depth knowledge of COLL and the prudential source book gained within a asset management environment. Strong communication, presentation and project management skills combined with robust analytical skills would also be advantageous. Lastly, it is desirable that you are a strong team player and able to adapt to a fast paced environment.

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Keywords related to this job

• Compliance,
• Compliance Managers,
• South East England,
• Permanent,
• Asset/ Investment Management,
• funds,
• regulatory,
• policy,
• FSA