Interim Compliance Advisor

Jupiter Asset Management Ltd
London, United Kingdom
14 Mar 2023
13 Apr 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Jupiter

Jupiter is one of the UK's leading investment management companies with just over 500 employees and £47.4 billion worth of assets under management (as at 30th September 2022).

Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA, APAC and the US.

The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground's Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings.

We offer our UK employees a 2-1-2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

  • As a core member of the Risk and Compliance team, the role will provide commercially sound regulatory advice and guidance to business areas based on a detailed knowledge, understanding and research of relevant rules and regulatory pronouncements (UK and overseas). The individual would be expected to deal with Management at all levels and assist in promoting the role of Risk and Compliance. This is a 12-month fixed term contract.

Key Responsibilities

  • Compliance delivery of regulatory training to meet business demands and firm wide regulatory obligations, include use of Skillcast CBT system and face to face training
  • Operation of the Star Compliance system, used to manage staff conflicts e.g. PA dealing, gifts and hospitality, outside business interests etc.
  • Providing Compliance support to the Group's processes to manage and control broker wall crossing events, ensuring that full records are retained of such events.
  • Support the new broker acceptance process and the take-on of new institutional mandates/ IMAs, providing Compliance input and liaising with the Legal department
  • Providing input into RFPs and other information gathering exercises from potential and existing clients and participating in client due diligence visits/meetings to promote the role of Compliance
  • Assisting with the review of marketing materials and other documentation, including KIIDs, for use in a variety of jurisdictions
  • Provide general support to the DPO in the review of legal contracts and maintenance of the Group's Data Protection framework
  • Provide support for the analysis and implementation of regulatory changes across the UK and EU
  • Provide advice/ input to business activities and regulatory projects across all areas of the business, ensuring that full consideration is given to new and existing regulatory rules
  • Support other areas of Compliance as required.
  • Develop and maintain good working relationships with colleagues across the Company.

Desired Skills / Experience
  • Proven Compliance Advisory experience, ideally gained within the Asset Management industry.
  • Good knowledge of Front Office and Dealing operations (i.e. Equities, Fixed income and Derivatives).
  • Good knowledge of the MIFID framework
  • Knowledge of broad UK and EU rules relevant to an asset manager
  • Knowledge of UCITS funds regulatory frameworks
  • Knowledge of UK and EU marketing rules for UCITS funds
  • Familiarity with SEC requirements would be beneficial, but not essential.
  • Excellent communication skills and ability to build strong relationships across the business.
  • A proactive nature and pragmatic work ethic.
  • Ability to work well alone or as part of a team.
  • Desire and ability to influence change in business practices.
  • An ability to work to strict deadlines and work under pressure.
  • Ability to investigate issues and proactively problem solve.
  • Strong analytical skills.
  • Demonstrated ability to communicate comfortably with senior management both verbally and through presentations.
  • Educated to degree level or equivalent industry experience.

Additional Role Details
  • This role is subject to the Conduct Rules set by the FCA.