Compliance Advisory Manager UK & EMEA

Recruiter
Ruffer LLP
Location
London, United Kingdom
Salary
Competitive
Posted
15 Nov 2022
Closes
15 Dec 2022
Ref
17447350
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Do you have approximately 4-6 years' Compliance regulatory/advisory experience within UK financial services, preferably asset management/wealth management?

Do you have at least 1-2 years management experience?

Are you experienced in advising on UK and EU compliance policies and working with the business regarding policy changes, as well as experience of UK/EU fund structures?

We are currently recruiting for a Compliance Advisory Manager UK & EMEA

For UK & EMEA, you will ensure Ruffer's policies are kept up to date and aligned and implementing regulatory policy change where necessary, whilst advising the business on compliance policy.

Key responsibilities:

You will be advising the business on Ruffer's policies and procedures, including representing Compliance in business projects where Compliance input/representation is required.

You will be leading on other compliance related activities including:
  • Financial promotion sign-off (including associated monitoring controls)
  • Conflicts of interest management co-ordination
  • Compliance related UK/EMEA funds work eg Prospectus reviews, due diligence questionnaires, due diligence visits, KIID reviews

Collaborating with the Regulatory Policy Manager to implement regulatory policy change into Ruffer's business. Regulatory changes could be rule changes, as well as changes in the relevant regulator's interpretations/expectations or best practice findings. Via
  • Sharing technical knowledge and jurisdictional expertise to support the Regulatory Policy Manager's creation of an implementation plan and impacts on Ruffer.
  • Ensuring Ruffer's compliance policies and procedures are in line with regulatory requirements, updating and refreshing them as regulatory requirements/expectations change
  • Assisting with implementation of regulatory changes into Ruffer's business
  • Liaising and working closely with the Compliance Monitoring team to ensure that they are aware of changes to policies and procedures
  • Day to day management of staff within your team including recruitment, training, appraisals, salary review etc

ABOUT US

Ruffer has been providing investment management services for institutions, pension funds, charities, financial planners, and private clients, in the UK and internationally since 1994. Our preoccupation is with not losing money, rather than charging headlong for growth. It's by putting safety first that we have made good money for our clients. Through boom and bust. Successfully navigating three major market corrections - the dot.com bust, global financial crisis and covid-19. In all we do, we seek to be responsible investors, considering environmental, social and corporate governance (ESG) issues in our investment process. The Ruffer approach is unchanged from when the firm started in 1994. Our investment process is different to most. It is designed to protect and grow the value of our clients' portfolios - avoiding large losses and harnessing the power of compounding over time. Put simply, we take on the responsibility for managing risk on behalf of our clients.

Ruffer's single investment strategy is defined by two simple investment objectives:
  • Not to lose money in any 12-month period
  • Generate returns meaningfully ahead of the return on cash

ALL-WEATHER INVESTING

We aim to deliver positive returns come rain or shine. If we are to be good all-weather investors, we cannot be dependent on the direction of markets. To avoid that dependency, we always hold investments in what we call growth and protection. We hold these alongside each other, changing the allocation to each over time. When the market sun shines, we expect our growth assets to prosper. When a market storm hits, our protective assets should provide shelter, defending the portfolio from a downturn. At Ruffer, we are committed to being good stewards of our clients' assets. To that end, environmental, social and governance (ESG) considerations are integrated into our investment process. Whether it's climate change or indigenous rights, executive pay or workforce safety, we believe our considered approach helps us make better decisions. To the advantage of our clients' portfolios. To the benefit of the companies, we invest in. And for the good of the environment and society.

DIVERSITY & INCLUSION

Ruffer strives for a diverse and inclusive workplace where our staff respect and understand individual differences. To create a truly inclusive culture, we aim to recruit, develop, and retain diverse talent and we positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race or ethnicity, religion or belief, sex, or sexual orientation

Please note Ruffer operates a hybrid working policy of 3 days in the office 2 days from home.