Role Overview:
We are seeking a Compliance Advisory Manager to join on a Fixed-Term Contract (FTC). The successful individual will help implement an appropriate compliance framework, including policies and procedures, to ensure that Insight complies with its regulatory responsibilities.
Role Responsibilities:
- Maintaining, enhancing and embedding conflicts of interest framework.
- Drafting and updating compliance policies and overseeing the compliance policies framework.
- Employee conduct compliance oversight and support programme.
- Provision of compliance advice and guidance to the business and wider organisation on a variety of regulatory themes.
- Ongoing updates to Compliance Plan, tracking deliverables and updating management on progress and changes.
- Review and analysis of breaches and incidents (including CASS).
- Collation and presentation of MI data.
- Compliance project work as needed, including integration initiatives.
Experience Required:
- Relevant experience within a compliance asset management role.
- Understanding of principle regulatory risks and how conduct risk applies across a firm.
- Desire to continually enhance knowledge and understanding of the industry, the regulatory environment and Insight.
- Generalist Compliance Advisory experience in FCA requirements including conflicts, conduct risk, policy drafting and CASS.
- Excellent communicator, proactive and willing to learn, team player who can build positive business relationships, able to take responsibility for making judgements after working logically through a set of issues to reach a balanced decision, able to pragmatically interpret and apply regulations in a practical manner.
- Ability to make sound judgement calls on regulatory matters based on a robust analysis of available facts, appreciating the various nuances of differing situations.
- Demonstrate innovation and entrepreneurialism where appropriate, constructively challenging the status quo; identify new ways of doing things and how these can best be implemented.
- Understanding of AI-enabled tools, technologies, and practical applications, with the ability to apply these appropriately within the role to enhance productivity, decision-making, or business outcomes.
Insight Investment is an equal opportunities employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability status, age, or any other status protected by law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at [email protected]
About Insight Investment:
Insight Investment is a leading asset manager focused on designing investment solutions to meet its clients' needs. Founded in 2002, Insight's collaborative approach has delivered both investment performance and growth in assets under management. Insight manages assets across its core liability-driven investment, risk management, full-spectrum fixed income, currency and absolute return capabilities. Insight has a global network of operations in the UK, Ireland, Germany, US, Japan and Australia. More information about Insight Investment can be found at: https://www.insightinvestment.com/corporate/
Skills Required
- Relevant experience within a compliance asset management role
- Generalist Compliance Advisory experience in FCA requirements including conflicts, conduct risk, policy drafting and CASS
- Understanding of principal regulatory risks and how conduct risk applies across a firm
- Provision of compliance advice and guidance on a variety of regulatory themes
- Experience reviewing and analysing breaches and incidents (including CASS)
- Ability to collate and present MI data
- Excellent communication, proactive team-player, ability to build business relationships
- Ability to make sound regulatory judgement calls based on robust analysis
- Demonstrate innovation and constructively challenge the status quo
- Understanding of AI-enabled tools, technologies, and practical applications and ability to apply them appropriately
What We Do
Insight* is one of Europe’s largest investment managers** responsible for £626.2bn/€757.3bn*** in assets under management (AUM) across fixed income, risk management strategies including liability-driven investment (LDI) and currency risk management, absolute return and multi-asset capabilities. Based in London, Insight is a specialist asset manager with a global network of operations in the UK, Ireland, Germany, US, Japan and Australia. Our clients include pension funds, corporates, local authorities, insurers, sovereign wealth funds, wealth managers, financial institutions and supranationals. Insight's mission is to offer investors a different approach to achieving their investment goals; one that prioritises the certainty of meeting their chosen objectives in contrast to the traditional focus on maximising return and minimising volatility. Read our mission statement here: www.insightinvestment.com/uk/introducing-insight/our-mission-statement/ We believe responsible investment means helping our clients achieve their desired outcomes and reflecting their priorities. We aim to identify, assess and manage factors that we deem to be financially material, while also reflecting our clients’ sustainability preferences. We were a founding signatory to the UN-supported Principles for Responsible Investment (PRI) in 2006. For more on Insight’s approach to responsible investment, visit https://www.insightinvestment.com/investing-responsibly Posts are intended for UK/EU professional investors only. Capital at risk. *Insight is the corporate brand for certain companies operated by Insight Investment Management Limited (IIML). **IPE, ‘Top 500 Asset Managers’ survey, June 2024. Insight is ranked fifth out of the top 120 European institutional managers by total AUM for external Europe-domiciled institutional clients. ***As at 31 December 2024. AUM are represented by the value of cash securities and other economic exposure managed for clients.
