Job Description

We are looking for a Compliance Advisory Manager for a time-bound contract assignment to bolster Compliance Advisory during a period of change and transformation, delivering key advisory support, policy/procedure updates and regulatory change activity to ensure ongoing regulatory compliance.

Role Responsibilities

• Regulatory Risk Assessment: Continuously review and enhance Insight’s systems and controls to mitigate regulatory risks, coordinating with key outsourcers/vendors as needed.
• Compliance Manual/Policies/Procedures: Maintain and update the Compliance manual and related documents to ensure relevance, alignment with BNY policies, and accessibility on the intranet.
• Advice: Provide proactive guidance, training, and timely responses to regulatory queries for the business and new joiners.
• Regulatory Change/Guidance: Monitor and assess new or amended regulatory requirements, collaborate with business areas on governance updates, and identify lessons from enforcement cases to strengthen controls.
• Financial Promotions: Develop and oversee marketing compliance frameworks, review advertising materials for regulatory adherence, and offer related advice consistent with Insight and BNY standards.
• Client liaison – respond to DDQ and RFP requests (Compliance specific questions), represent compliance at client meetings
• Costs and Charges/Client Reporting – provide advice to the business on regulatory requirements
• Operational Resilience – provide advice and guidance as needed
• CASS - provide advice to the business on regulatory requirements, breach analysis
• Outsourcing/Vendor Management – provide advice and guidance to the business on regulatory requirements.
• General Advisory Compliance – work with the wider team to provide advice and guidance to the businesses on a variety of regulatory themes.
• Contribute to committee reporting and the compliance dashboard.
• Support committee/board reporting across advisory and core activities.
• Deliver training and attend client/committee/board/external meetings as required.
• Maintain relevant CPD to remain effective in the assignment (e.g. keeping up to date with regulatory developments, attending relevant internal briefings/training where applicable)
• Support FCA surveys/visits/reviews

Experience Required

• High level knowledge of;
• Financial promotions
• Costs and charges/client reporting
• General Compliance Advisory Experience
• Record keeping
• CASS
• Complaints
• Outsourcing/Vendor management
• Take personal ownership for delivery and development, including managing own time to deliver fundamental objectives
• Establish mutual trust and respect with stakeholders, act with integrity and show an appropriate understanding of the wider business
• Be a strong team player, supporting colleagues within the Compliance Team and contributing to the overall functioning and development of the team
• Ability to communicate ideas in a clear, informative and concise manner tailored to the audience
• Develop practical and pragmatic solutions that bring best practice professional thinking to Insight
• Ability to make sound judgement calls on regulatory matters based on a robust analysis of available facts, appreciating the various nuances of differing situations
• Good understanding of the asset management industry, particularly:-
• Ability to apply knowledge in a practical manner, making connections between varying regulations and parts of the business

Insight is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of background, circumstances, age, disability, gender identity, ethnicity, religion or belief and sexual orientation. 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 TalentAcquisition@InsightInvestment.com

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/