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Associate Director- Compliance Advisory

Job description

Sigmar are currently working with a Leading Investment Manager in their search for an Associate Director to join their Compliance Advisory function supporting Trade and Transaction reporting.

The incumbent of this role will be the subject matter expert for complex instruments such as: Swaps (Interest Rate Swaps, Rate Swaptions, Credit Default swaps, Equity Linked Swaps, Commodity Linked Swaps and OTC Equity Options).

Key Responsibilities: 

  • Engage with the Regulatory Reporting teams to provide timely and high quality compliance advice on various matters related to trade, transaction and related regulatory reporting obligations.
  • Keep abreast of emerging regulatory rules and announcements and interpret these into clear guidelines and compliance advise for respective stakeholders.
  • Deliver timely, impactful and high-quality compliance advice to various teams across the business, including Portfolio Managers, Traders, Product and Institutional teams on the use of various complex and non-vanila instruments across various investment products.
  • Develop and maintain productive relationships with executive stakeholders by providing expert support & confident challenge
  • Partner with investment personnel and other support teams in developing sound controls and workflows.
  • Contribute to maintaining a high performing team by guiding, mentoring as well as coaching other team members.

Previous Experience: 

  • Proven track record of delivering strong investment compliance advice focused on complex instruments across asset classes and product types.
  • Experience in supporting middle office functions related to OTC and/or Listed Derivatives on the sell-side or buy-side will be helpful.
  • Deep knowledge of the UK and European regulatory environment, and how various trade and transaction reporting requirements impact Buy-side firms
  • Strong appreciation of specific, relevant regulation and legislation e.g. MIFID, AIFMD, SFTR, UCITS, EMIR
  • Relevant investment management qualification (e.g. Investment Management Certificate)
  • Effective influencer, able to build productive relationships, while comfortable challenging and negotiating different viewpoints

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