Head of Corporate Risk & Compliance Advisory
This role will lead the Corporate Risk and Compliance Advisory team in providing an advisory service to all areas of Jupiter, in relation to the design and effectiveness of regulatory processes, policies and controls. This is a senior role in the Jupiter’s Risk & Compliance function and will also be a member of the leadership team.
- Provide advice/input to business activities and regulatory projects across the Company, ensuring that full consideration is given to new and existing regulatory rules and the Group’s risk appetite, as appropriate, ensuring that all relevant risk and compliance considerations are taken into account.
- Provide leadership across Risk and Compliance maintaining strong relationships across Corporate, Fund and Business Partner teams and promoting collaboration with all areas.
- Participate in and generally support regulatory training provided by Compliance to meet business demands and firm wide regulatory obligations.
- Support the team with the operation of the Star Compliance system, used to manage staff conflicts e.g. PA dealing, gifts and hospitality, outside business interests etc.
- Support the Compliance Monitoring team in the planning of their monitoring reviews to ensure that their monitoring programmes take into account areas of perceived risk and/or potential regulatory weaknesses.
- Participate in or coordinate, as appropriate, responses to requests from regulators for information involving business areas as required.
- Participate in client due diligence visits/meetings to promote the role of Risk and Compliance within the organisation and address any client enquiries concerning the Group’s regulatory arrangements.
- Provide departmental input into RFPs and other information gathering exercises from potential and existing clients.
- Provide 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, providing Compliance input and liaising with the Legal department and business areas.
- Provide Compliance input and general support to the Legal department in the review of new institutional client mandates and IMAs, focusing particularly on adherence to FCA rules.
- Support new overseas offices with interpretation of local regulatory requirements and provide local teams with relevant regulatory advice. Coordinate any reporting requirements to local regulators.
- Maintain working relationships with management of internal business areas and with external parties such as Internal Audit and External Audit.
- Provide leadership to direct reports, ensuring they have clear objectives, regular 1-1 meetings, oversight in place, and career development conversations.
- Undertake any other responsibilities as assigned by the Head of Corporate Risk and Compliance, including deputising for the “Head of” when required.
The Ideal Candidate
- 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 UK and EU rules and familiarity with SEC requirements would be beneficial, but not essential.
- Excellent communication skills and ability to build strong relationships across the business.
- Proven experience of leading and managing teams; ability to engage, motivate and develop employees.
- Experience of identifying areas for development, efficiency or improvement and implementing these changes successfully. A proactive nature and pragmatic work ethic.
- 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 e.g. on a 1-1 basis, in management meetings, presentations to Board and Committees.
- Educated to degree level or equivalent industry experience.
- Professional qualifications desirable.
We reward our employees with a comprehensive employee benefits package that includes physical health and financial wellbeing initiatives and family friendly policies, as well as Company support to make a difference to the charities that are important to them. We also offer a structured learning and development programme and sponsorship towards relevant qualifications. Our employee resource groups (including LGBT+ and Women in Technology), Sports and Social, Arts and Charity Committees also provide further support to our employees.
About the Company
Jupiter is one of the UK’s leading investment management companies with just over 500 employees and £58.8 billion worth of assets under management (as at 31st March 2021).
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 Austria, Germany, Hong Kong, Italy, Luxembourg, Netherlands, Singapore, Sweden, Switzerland, Spain 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.
This role will be eligible to participate in the Company’s more flexible 2-1-2 working arrangement. Two days Tuesday and Thursday’s are prescribed days where all employees should work from the office and one other office day can be chosen by you and two days worked from home.
Jupiter Asset Management