Compliance Advisory Manager – Contract

Responsibilities

• Regulatory Risk Assessment: Continuously review and enhance Insight’s systems and controls to mitigate regulatory risks, coordinating with key outsourcers/vendors as needed.
• Compliance Manual/Policies/Procedures: Maintain and update the Compliance manual and related documents to ensure relevance, alignment with BNY policies, and accessibility on the intranet.
• Advice: Provide proactive guidance, training, and timely responses to regulatory queries for the business and new joiners.
• Regulatory Change/Guidance: Monitor and assess new or amended regulatory requirements, collaborate with business areas on governance updates, and identify lessons from enforcement cases to strengthen controls.
• Financial

Promotions: Develop and oversee marketing compliance frameworks, review advertising materials for regulatory adherence, and offer related advice consistent with Insight and BNY standards.

• 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
• CASS – provide advice to the business on regulatory requirements, breach analysis
• Outsourcing/Vendor Management – provide advice and guidance to the business on regulatory requirements.
• General Advisory Compliance – work with the wider team to provide advice and guidance to the businesses on a variety of regulatory themes.
• Contribute to committee reporting and the compliance dashboard.
• Support committee/board reporting across advisory and core activities.
• Deliver training and attend client/committee/board/external meetings as required.
• Maintain relevant CPD to remain effective in the assignment (e. g. keeping up to date with regulatory developments, attending relevant internal briefings/training where applicable)
• Support FCA surveys/visits/reviews

Requirements

• High level knowledge of;
• Financial promotions
• Costs and charges/client reporting
• General Compliance Advisory Experience
• Record keeping
• CASS
• Complaints
• Outsourcing/Vendor management
• Take personal ownership for delivery and development, including managing own time to deliver fundamental objectives
• Establish mutual trust and respect with stakeholders, act with integrity and show an appropriate understanding of the wider business
• Be a strong team player, supporting colleagues within the Compliance Team and contributing to the overall functioning and development of the team
• Ability to communicate ideas in a clear, informative and concise manner tailored to the audience
• Develop practical and pragmatic solutions that bring best practice professional thinking to Insight
• Ability to make sound judgement calls on regulatory matters based on a robust analysis of available facts, appreciating the various nuances of differing situations
• Good understanding of the asset management industry, particularly:-
• Ability to apply knowledge in a practical manner, making connections between varying regulations and parts of the business
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