Interim Compliance Manager (6 month FTC)

at  Jupiter Asset Management Ltd

DESIRED SKILLS / EXPERIENCE

Experience

• Previous global asset management experience either in compliance or other business area;
• Ability to initiate and lead conversations across the business regarding potential compliance issues;
• Ability to be able to work within a global business and build strong relationships across different locations
• Detailed knowledge and understanding of UCITS & AIFM regulations;
• Detailed knowledge and understanding of MiFID requirements, marketing and distribution rules;
• Understanding of CBI regulation and regulatory issues that could affect the business;
• Understanding of global distribution markets

Skills

• Ability to be able to identify matters which require immediate escalation to the head of compliance and/or senior management;
• Act with integrity, due skill, care and diligence
• Ensure customer outcomes are the focus of our business and we are respected by regulator
• 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

Don’t meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don’t think your experience aligns perfectly with every listed requirement in the job description, we would encourage you to apply. You may be the right person for this role.
Job ID JR317

• Providing advice to the JAMEL staff, management and board on compliance matters;
• Developing and implementing a risk-based compliance monitoring plan, with the support from the Head of Compliance and wider Group compliance monitoring team;
• Ensuring that all regulatory requirements in relation to its authorisations are adhered and investigating all compliance related issues (e.g., investment restriction breaches, compliance, policy breaches);
• Responsible for the oversight and monitoring of JAMEL’s delegates and providing quarterly reports to the board;
• Working with the Head of Compliance to develop and maintain an effective policy suite and compliance manual applicable to the business;
• Liaising with the depositary in relation to breaches or other investment restriction monitoring / securities eligibility queries in relation to the funds that JAMEL manages;
• Ensuring there is a defined procedure for the monitoring and recording of incidents, including investment breaches, pricing errors, complaints;
• Assessing the monthly depository and administrator reports for risks and patterns of issues for mitigation and/or resolution, in the case of significant exceptions ensure that daily reporting is established to monitor resolution.
• Ensuring timely and accurate reporting of material breaches to the CBI in compliance with the CBI’s requirements;
• Responsible for regulatory reporting completion such as coordinating the fund profile reporting on the ONR and other regulatory filings required;
• Ensuring JAMEL is in compliance with the Fitness & Probity standards, completing the annual attestation of PCF & CF holders, assisting in the PCF applications of individuals.
• Monitoring ongoing regulatory change through the completion of regulatory gap analysis on new regulations, in tandem with the conducting of impact assessments across the relevant business departments. Providing assistance to the ongoing review and implementation of such regulatory updates across the business.
• Maintaining internal and regulatory registers.
• Providing advice and support to JAMEL in relation to its AML/CTF responsibilities and support to the JAMEL MLRO in relation to the AML framework;
• Promote positive compliance culture and ethos in JAMEL and its network ensuring a proactive and added value compliance culture is sustained;
• Close liaison with other members of the compliance and legal teams in the UK, Asia and Internal Audit