Compliance Manager - US Regulatory Specialist - JN-032022-5376304

Job Description
Summary
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Growing compliance team
Excellent opportunities for progression

About Our Client

Our client are a leading UK Investment Management firm with a major presence in London and a smaller office in Edinburgh whose global presence is currently expanding to North America.

Job Description

The Compliance Manager - US Regulatory Specialist will be responsible for:

Assisting the Head of Compliance, for in-scope jurisdictions keeping abreast of policy developments, ensuring policies are kept up to date and aligned, implementing regulatory policy change where necessary and advising the business on compliance policy and regulatory matters
Implementing regulatory changes for in-scope jurisdictions a. Whilst working closely with the UK/EMEA Policy team, identifying regulatory change that could impact the firm considering how the regulatory changes will impact and can be incorporated into the business.
Ensuring compliance policies and procedures are in line with regulatory requirements, updating and refreshing them as regulatory requirements/expectations change

The Successful Applicant

The Compliance Manager - US Regulatory Specialist should have the following skills:

Minimum 7 years' Compliance experience within US financial services, ideally with SEC, CFTC and FINRA expertise/experience
Experienced in regulatory compliance, with significant experience of interpreting US rules and solid understanding of the UK regulatory regime, and how the rules apply in practice
Some experience with Canadian and Australian regulations preferable
Desirable but not essential: university degree and professional exams (eg IMC, CISI Diploma, NFA Series exams or FINRA qualifications)
Competent user of Microsoft Office eg Word