Compliance Advisory Manager (London)

We are seeking a Compliance Advisory Manager, based in London. The successful individual will help implement an appropriate compliance framework, including policies and procedures, to ensure that Insight complies with its regulatory responsibilities.

Role Responsibilities

• General Advisory Compliance - work with the wider team to provide advice and guidance to the businesses on a variety of regulatory themes.
• Financial Promotions - undertake reviews of marketing and advertising to ensure that all such material is in accordance with regulatory requirements and Insight and BNY policies and standards. Provide advice and guidance on regulatory requirements and Insight policies.
• Client Liaison - respond to DDQ and RFP requests (Compliance specific questions), represent compliance at client meetings.
• Costs and Charges/Client Reporting - provide advice to the business on regulatory requirements.
• Operational Resilience - provide advice and guidance as needed.
• Regulatory risk assessment process - the ongoing review of the effectiveness of Insight's 'end to end' systems and controls in mitigating its regulatory risks. Ensure enhancement measures are identified and implemented in a timely manner as necessary. This will include liaising with Insight's key outsourcers/vendors as required.
• Compliance Manual/Policies/Procedures - the ongoing development and maintenance of the Compliance manual, policies, and procedures. Ensuring these are kept up to date and relevant for Insight's business, mapped back to BNY policies and Insight's key regulatory risks and are readily available on the intranet.
• Regulatory change/guidance - undertake horizon scanning to identify and assess the impact of new/amended regulatory requirements, guidance, and hot topics relevant to Insight. Proactively liaise and work with business areas on implementing new or amended governance arrangements, processes, and controls regarding areas of regulatory change and focus. Identify relevant findings from regulatory enforcement cases and assess if any further actions for Insight to take in enhancing its regulatory control environment in these areas.
• Involvement with FCA re surveys, visits, reviews - including; inputting into the provision of information requests and onsite visits, assisting Insight prepare for onsite FCA visits and inputting into Insight responses to FCA review reports. Tracking completion of any actions committed to in responses.
• Production and implementation of training covering key regulatory risks impacting on Insight.
• Analyse outputs from the regulatory risk assessment process and ancillary activities and identify, report, and address any underlying systemic trends that may exist.
• Liaise with other Compliance Teams and colleagues re findings from activities.
• Production of compliance MI.
• Compliance projects.

Experience Required

• Relevant experience within a compliance asset management role (general compliance advisory and financial promotions).
• Understanding of principle regulatory risks and how conduct risk applies across a firm.
• Desire to continually enhance knowledge and understanding of the industry, the regulatory environment and Insight.
• Generalist Compliance Advisory experience in FCA requirements including conflicts, conduct risk, policy drafting, and CASS.
• Excellent communicator, proactive and willing to learn, team player who can build positive business relationships, able to take responsibility for making judgements after working logically through a set of issues to reach a balanced decision, able to pragmatically interpret and apply regulations in a practical manner.
• Ability to make sound judgement calls on regulatory matters based on a robust analysis of available facts, appreciating the various nuances of differing situations.
• Demonstrate innovation and entrepreneurialism where appropriate, constructively challenging the status quo; identify new ways of doing things and how these can best be implemented.
• Understanding of AI-enabled tools, technologies, and practical applications, with the ability to apply these appropriately within the role to enhance productivity, decision making or business outcomes.

Insight Investment is an equal opportunities employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability status, age, or any other status protected by law.