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- Tasks: Ensure compliance with regulations and provide guidance on policies and procedures.
- Company: Join a boutique asset management firm known for innovative investment strategies.
- Benefits: Enjoy a 12-month contract with potential for growth and valuable industry experience.
- Why this job: Be part of a dynamic team making a real impact in the financial sector.
- Qualifications: Degree or compliance qualification preferred; 5 years' experience in compliance or operations required.
- Other info: Opportunity to lead projects and engage with various teams across the business.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is an independent boutique asset management business based in the UK, specialising in providing differentiated strategies to investors.
THE RESPONSIBILITIES:
- Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place to ensure compliance with those requirements.
- Make written recommendations for improvement to the company’s policies and procedures as appropriate to ensure continued compliance.
- Provide an overview of regulatory changes as necessary.
- Provide ad-hoc compliance advice, support, and guidance.
- Respond to compliance queries from the business and assist in the resolution of issues.
- Assess new investments into funds and review suitability documentation (as per Investment Restrictions) carried out by fund managers when required.
- Monitor and review Fund regulations and restrictions on investments.
- Act as the point of contact for regulatory investment restrictions and the operation.
- Set up and monitor relevant compliance rules within Bloomberg AIM and other relevant Operational/Portfolio Management Systems.
- Maintain appropriate registers including Regulatory Rule Breaches, Conflicts of Interest, Risk Assessments, etc.
- Assist in the review of relevant policies and procedures to ensure compliance with FCA rule changes.
- Participate and lead projects as and when they arise, ensuring appropriate engagements and consistency across the Business.
- Carry out analysis of relevant regulatory breaches and assist in dealing with complaints when required.
- Ensure that appropriate controls are in place to mitigate the risk of Financial Crime, including anti-money laundering, corporate offence of facilitating tax evasion, fraud, bribery and corruption, insider dealing, market abuse, and information security.
- Work closely with relevant Fund Management teams supporting our Best Execution framework and ensuring that all relevant alerts and reports are properly investigated.
- Review and approve financial promotion material, ensuring all documentation meets current regulatory requirements and is consistent across the product base.
- Assist Fund Managers and Head of Compliance in keeping product governance documentation up to date.
- Prepare Regulatory Returns.
- Manage Senior Managers & Certification Regime (SM&CR).
EXPERIENCE REQUIRED:
- Ideally a degree and/or Professional Compliance/Regulatory Qualification is preferential e.g. Diploma in Compliance and/or Diploma in Financial Planning.
- At least 5 years’ experience in Compliance or Operations within financial services (in-house or consultancy), preferably in a fund management and/or discretionary management environment.
- Regulatory change experience would be an advantage.
- An understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation.
- Strong appreciation of Compliance and Operational Risk and how these are embedded within a business.
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager (12 month FTC)
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the compliance and asset management sectors. Attend industry events or join relevant online forums to connect with others who can provide insights and potentially refer you to opportunities within their organisations.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues in the past. Be ready to explain your thought process and the outcomes, as this will showcase your practical experience and problem-solving skills.
✨Tip Number 4
Research the company’s current compliance practices and any recent regulatory changes that may affect them. This will allow you to ask informed questions during the interview and show that you are proactive and genuinely interested in the role.
We think you need these skills to ace Compliance Manager (12 month FTC)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Manager. Familiarise yourself with the key tasks mentioned in the job description, such as maintaining compliance with regulatory changes and providing ad-hoc compliance advice.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance or operations within financial services. Emphasise any specific achievements related to regulatory compliance, risk assessment, or policy improvement that align with the job requirements.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your understanding of the regulatory environment and your experience in compliance. Mention how your skills can contribute to the company's goals and address any specific points from the job description.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects attention to detail, which is crucial for a Compliance Manager role.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you have a solid understanding of the FCA regulations and compliance requirements relevant to the role. Brush up on recent changes in legislation and be prepared to discuss how they impact the business.
✨Demonstrate Analytical Skills
Be ready to showcase your analytical abilities, especially in assessing compliance risks and regulatory breaches. Prepare examples from your past experience where you've successfully identified and mitigated compliance issues.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Think about how you would handle specific compliance queries or regulatory challenges and articulate your thought process clearly.
✨Showcase Your Communication Skills
As a Compliance Manager, you'll need to communicate complex regulatory information effectively. Be prepared to demonstrate your ability to convey compliance advice clearly and concisely, both in writing and verbally.
