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Compliance Manager – Regulatory Development and Affairs

London, United Kingdom


Job Description


The Opportunity:


The role as Regulatory Development/Affairs (Compliance Manager) will be to further our understanding of, contribution to and provide assurance over the delivery of and the impact of UK and EMEA regulatory change. This will include regulatory change being led by all areas of the firm, and regulatory change specifically affecting the Risk & Compliance Department. Reporting to the Chief Compliance and Risk Officer, you will play an essential part in ensuring that UK and EMEA regulatory developments are identified, researched and issues are disseminated, discussed and tracked to implementation across relevant business areas.


The Day-to-Day:

  • Help identify, assess, and research the impact of new or changing UK and EMEA regulations on Fisher Investments Europe's business, with a focus on the areas of FCA business plan and regulatory initiatives grid that impact FI UK such as laws relating to ESG (environmental, social and governance)
  • Provide advisory support across the business on regulatory developments and play a supporting role in UK and EMEA regulatory changes
  • Produce summary regulatory analysis / reporting to allow senior members of the firm to understand current UK and EMEA regulatory developments
  • Track regulations that affect us, through their development processes and communicate updates to the business
  • Support all governance committees, within FI UK, responsible for ensuring communication of all relevant regulatory developments and tracking of regulatory change
  • Perform an ongoing appraisal of changes in the regulatory environment
  • Work with Compliance, Legal and Risk on the assessment of regulatory requirements
  • Contribute to communication efforts for Regulatory Development

Your Qualifications:

  • Bachelor's degree and 5+ years of regulatory compliance experience
  • Compliance qualification from ICA, CISI or an equivalent recognised body
  • Regulatory experience acquired either within a financial advisory or wealth management firm
  • Experience with Compliance best practice within the financial advisory or wealth management industry
  • Experience reviewing and implementing regulatory change within a financial advisory or wealth management firm
  • Strong understanding of the FCA Handbook
  • Excellent communicator with good skills in developing relationships and working with staff at all levels
  • Multilingualism an asset
  • Candidates must be fully vaccinated as defined by the medical community against COVID-19 and provide proof of such vaccination by date of hire

Why Fisher Investments Europe:


The global Fisher organisation distinguishes itself by putting clients first, providing unmatched service, and taking a personalised approach to investing. You can feel confident knowing that we align with our clients' best interests by using a simple and transparent fee structure and recognised European custodians.


It's the people that make the Fisher purpose possible, and to help our employees meet their long-term goals, we offer an array of benefits, including:

  • 100% coverage of the supplemental medical and dental premiums for you and your qualified dependents*
  • 28 days annual leave, increasing to 30 after 5 years of service, with the ability to purchase up to 3 additional days
  • Annual Health Screening for you and your qualified dependents*
  • 9% company pension contribution with an additional company match up to 5%
  • Two Pension Contributions methods to choose from
  • Monthly gym subsidy and Cyclescheme programme
  • Interest-free season ticket loan available for purchase upon six months of employment**
  • Voluntary worldwide business and leisure travel insurance, including winter sports
  • Two Wellness Programmes (free, confidential and available 24/7)
  • Enhanced maternity pay subject to 12-months continuous service
  • A collaborative working environment that practises ongoing training, educational support and employee appreciation events

We take great pride in our inclusive culture. We value the different perspectives and unique skills you bring to the team – it makes us all better. Success at Fisher Investments is motivated by results, a collaborative mindset and a commitment to accomplishing great things – so if you are ready to do that, we are ready for you! Apply today to be a part of a team environment where you make a difference in the lives of people by bettering the investment universe.




*Employees responsible for any benefit-in-kind taxes as classed by the HMRC

**Available only to regular full-time employees with at least a 12-month contract


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