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- Tasks: Lead compliance monitoring and ensure adherence to investment guidelines in asset management.
- Company: Join a dynamic team at Rutherford, specializing in compliance and risk management.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Make a real impact by safeguarding client investments and ensuring regulatory compliance.
- Qualifications: 7-10+ years in investment compliance or risk management required; strong knowledge of regulatory frameworks essential.
- Other info: Ideal for those passionate about finance and compliance in a fast-paced environment.
The predicted salary is between 48000 - 84000 £ per year.
Job Title : Senior Compliance Manager
Department : Compliance / Risk Management
Location : London
Job Overview- Asset Management
Rutherford are seeking a Senior Compliance Manager to join our client in the Compliance and Risk Management team. In this role, you will be responsible for monitoring investment guidelines, ensuring compliance with regulatory requirements, and maintaining internal control systems related to client mandates and portfolios. You will work closely with portfolio managers, traders, compliance officers, and other stakeholders to identify, report, and mitigate any breaches of investment mandates.
Key Responsibilities
Guideline Monitoring & Compliance :
- Monitor portfolio adherence to client investment guidelines, regulatory restrictions, and internal investment policies.
- Review and validate client-specific mandates, including asset allocation, sector and industry restrictions, and risk parameters.
- Ensure that portfolios are being managed in accordance with agreed-upon guidelines and regulatory requirements.
- Generate reports on guideline violations, portfolio exceptions, and breaches.
- Communicate guideline issues and potential violations to portfolio managers and senior leadership in a timely manner.
- Assist in preparing compliance reports for regulatory filings and internal audits.
Experience :
- 7-10+ years of experience in investment compliance, guideline monitoring, risk management, or a related field, preferably within an asset management or financial services environment.
Skills & Knowledge :
- Strong understanding of investment guideline restrictions as well as pre and post trade monitoring.
- Working with key stakeholder within the business, advising and approving live trades
- Knowledge of compliance systems, regulatory frameworks (e.g., MiFID II, UCITS, AIFMD), and industry standards.
- Proficient in using compliance monitoring software (e.g., Charles River, Bloomberg, or other similar tools).
Senior Compliance Manager employer: Rutherford
Contact Detail:
Rutherford Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager
✨Tip Number 1
Familiarize yourself with the specific compliance software mentioned in the job description, like Charles River or Bloomberg. Having hands-on experience or certifications in these tools can set you apart from other candidates.
✨Tip Number 2
Network with professionals in the asset management and compliance sectors. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance management.
✨Tip Number 3
Stay updated on regulatory changes, especially those related to MiFID II, UCITS, and AIFMD. Demonstrating your knowledge of current regulations during interviews will show your commitment to compliance excellence.
✨Tip Number 4
Prepare to discuss real-life scenarios where you've successfully identified and mitigated compliance breaches. Concrete examples will illustrate your problem-solving skills and your ability to work with stakeholders effectively.
We think you need these skills to ace Senior Compliance Manager
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Senior Compliance Manager position. Understand the key responsibilities and required skills, especially focusing on investment compliance and regulatory frameworks.
Tailor Your CV: Customize your CV to highlight relevant experience in investment compliance, guideline monitoring, and risk management. Emphasize your familiarity with compliance systems and any specific software you have used, such as Charles River or Bloomberg.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your understanding of the compliance landscape and your ability to work with stakeholders. Mention specific examples from your past experience that demonstrate your expertise in monitoring investment guidelines and managing compliance issues.
Highlight Relevant Experience: In your application, clearly outline your 7-10+ years of experience in investment compliance or related fields. Provide concrete examples of how you've successfully managed compliance processes and communicated with portfolio managers and senior leadership.
How to prepare for a job interview at Rutherford
✨Showcase Your Compliance Knowledge
Make sure to highlight your understanding of investment guideline restrictions and regulatory frameworks like MiFID II and UCITS. Be prepared to discuss how you've applied this knowledge in previous roles.
✨Demonstrate Stakeholder Engagement
Since the role involves working closely with portfolio managers and other stakeholders, share examples of how you've effectively communicated compliance issues and collaborated with teams to resolve them.
✨Prepare for Technical Questions
Expect questions about compliance monitoring software and tools you’ve used, such as Charles River or Bloomberg. Be ready to explain how you utilized these tools to ensure adherence to investment guidelines.
✨Discuss Your Reporting Experience
Be prepared to talk about your experience in generating compliance reports and handling regulatory filings. Highlight any specific instances where your reporting led to improved compliance processes.
