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ESG Compliance Officer

London

Jul 22, 2024

Company Description:

Our client, a successful Wealth Management business, with approx., £28bn in AUM is part of a private banking group. They cover portfolio management services and wealth planning for private clients, services for intermediaries and their clients, and discretionary portfolio services for US connected clients.

 

Job Description:

As an ‘expert’, the successful candidate will ensure the business is ahead of the curve with changes and developments within ESG regulatory landscape, this includes but is not limited to SDR and SFDR.  As this is a new role, this is an exciting opportunity to shape the position and develop your skillset accordingly whilst working with senior stakeholders to influence policy, systems and controls related to the ESG regulatory landscape. This role will report directly to the Head of Compliance.

  • Provide proactive advice and guidance to internal stakeholders on ESG Regulation, industry standards and other requirements. Internal stakeholders include portfolio managers, research analysts, front office representatives and other colleagues.
  • Identify new ESG regulatory or industry developments and analyse the resulting Impact on the business.
  • Ensure the organisation’s sustainable initiatives align with these regulations, including monitoring firms approach to conducting due diligence on sustainable investments.
  • Contribute to the development of the firms sustainability risk framework, including development of appropriate MI/KPIs.
  • Develop and update internal policies and procedures and related controls to ensue compliance with ESG regulations.
  • Establish and maintain engagement with colleagues, clients, industry professionals and regulatory authorities when needed.
  • Oversee the preparation and submission of required reports and disclosures under relevant regulations, including but not limited to SDR, SFDR and TCFD.
  • Confirm the inclusion of necessary information in marketing materials and website, whilst reviewing anti-green washing.
  • Establish processes for ongoing monitoring of compliance with Monitoring subject matter experts on sustainable investing regulations.
  • Develop training programs to educate internal teams on sustainable investing regulations.

Minimum Requirements:

  • Expert knowledge on ESG related regulations gained through similar roles at other firms.
  • Good understanding of the wealth management business.
  • Knowledge and understanding of fund management and regulatory knowledge of UCITS and AIFMD requirements is a strong advantage.
  • Industry or professional Compliance qualification desirable.
  • Motivated and conscientious with strong interpersonal skills.
  • Excellent organisational skills, including the ability to prioritise and meet deadlines.
  • Ability to communicate clearly and succinctly, tailoring communication, whether written or verbal, to the appropriate audience.
  • The ability to work both independently but as part of a team.
  • Team player who supports other members of the wider Compliance, Legal and Risk teams as well as those across the business.

Contact.

  Contact.
Neil Farrell
Email: neil.farrell@farrellassociates.com Email

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Please note that due to high volumes of applicants we will only be able to respond to the people who meet the minimum requirements set out by our clients. Please also be assured that we have engaged directly with each client to ensure that the minimum requirements are as wide (low) as possible to allow for greater diversity.

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