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Multi Asset Head of Compliance (Advisory)

Information About This Job

Job Title: Multi Asset Head of Compliance (Advisory)
Contract Type: Permanent
Location: London
Contact Name: Ben Kinley
Contact Email:
Job Published: about 1 year ago

Job Description

We are recruiting on behalf of our client, top wealth and asset management firm in London, who are looking to appoint a Multi Asset Head of Compliance (Advisory).


About The Company

The client is a leading wealth management business in the UK and internationally, helping to create prosperity for the generations of today and tomorrow.

It has an adviser and customer offering spanning:

  • Financial advice delivered by the Intrinsic network in the UK and AAM Advisory in Singapore

  • Platform based wealth management and protection products delivered by the firm;s UK and international operations

  • Asset management solutions delivered by the firm

  • Discretionary investment management delivered by Quilter Cheviot

The company oversees £123.5 billion in customer investments (as at 31 December 2016).

The firm is part of an FTSE 100 group that provides life assurance, asset management, banking and general insurance. The firm is also trusted by more than 19.4 million customers across the world and has a total of £394.9 billion of assets under management (as at 31 December 2016).


About The Role

The purpose of this role is to undertake second line assurance activity in the form of management of compliance advisory services.

To provide regulatory advice and oversight support to the Multi Asset business and assist the Head of Compliance in ensuring that the regulated firm, its employees and key stakeholders all conduct their business in accordance with the relevant regulations and standards.


Key Responsibilities

  • Provide lead compliance advisory support and guidance to the Multi Asset (MA) business in relation to all regulated corporate/business activities and ensure that such regulations are effectively integrated to the business with particular focus on FCA/CBI/ UCITS/AIF ,money laundering/financial crime regulations and industry best practice

  • Provide best market practice compliance advisory and oversight services on a risk basis to the front office and dealing teams. Manage, review and maintain relevant compliance policies in accordance with the MA business and Group policy requirements

  • Manage compliance registers and analytics

  • Manage regulatory training and development across the MA business in accordance with best market practice

  • Produce all required regulatory reporting for MA and ensure it follows all MA and Group risk processes and standards to support quality submissions

  • Work closely with the central Risk team and build strong relationships throughout the Multi Asset business

  • Forge and maintain strong links with external relationships such as depositories and outsource providers

  • Identify any concerns or issues promptly and escalate through the Compliance team to resolve and support root cause analysis  to prevent any reoccurrence

  • Assist with the production of risk management information for relevant committees and boards as required

  • Keep abreast of all relevant regulatory asset management market changes in accordance with best market practice

  • Provide best market practice support and guidance for all relevant project initiatives within the business and ensure qualitative and exemplary delivery

  • Manage, support and develop the Advisory Compliance team to ensure team objectives are met


Skills & Experience

  • Degree qualified or equivalent experience

  • Senior experience in a compliance and/or regulatory support role in the UK

  • Extensive experience of asset management/investment management

  • Strong knowledge of investment products and instruments including derivatives

  • Strong knowledge of investment lifecycles

  • Specific technical competencies

    • Expert knowledge of FCA/CBI/UCITS/AIF/CASS regulations

    • Expert knowledge of derivatives and their usage

    • Senior experience of working in a front office compliance advisory role

    • Experience of working with front office order management systems, rule coding and monitoring (Thinkfolio or equivalent)

    • Excellent analytical/MI skills


Key Competencies


  • Act with integrity, due skill, care and diligence

  • Ensure customer outcomes are the focus of our business  and we are respected by regulators


Stronger together:

  • Collaborate with peers  across the Organisation

  • Share openly and be transparent

  • Adopt a responsible approach



  • Maintain our entrepreneurial culture

  • Strive for continuous improvement

  • Lead by example



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