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- Tasks: Lead investment compliance and oversee regulatory requirements across multiple countries.
- Company: Aspire is a leading FinTech empowering innovators with a comprehensive financial operating system.
- Benefits: Enjoy flexible leave, wellness perks, training subsidies, and remote work options.
- Why this job: Join a dynamic team to drive change in the fintech space and make a real impact.
- Qualifications: 7+ years in investment compliance; strong knowledge of global regulations required.
- Other info: Aspire values a diverse culture and offers a collaborative environment for top talent.
The predicted salary is between 72000 - 108000 £ per year.
At Aspire, we’re more than just a FinTech company—we’re the leading all-in-one financial operating system built to empower the world’s innovators and entrepreneurs. We are on a mission to reinvent business finance, empowering startups and businesses to realise their full potential.
We are seeking an experienced Investment Compliance Director to support our global yield expansion initiatives and oversee investment regulatory compliance across multiple jurisdictions. This role will be pivotal in ensuring compliance with all investment-related regulatory requirements, supporting investment license applications globally, and acting as the UK Compliance Officer (CO) for the UK investment license.
This role focuses on providing global investment compliance oversight, ensuring adherence to regulations across multiple jurisdictions including the UK, Singapore, US, Australia, and Hong Kong, while also leading investment license applications and acting as the UK Compliance Officer. You will be responsible for developing compliance frameworks, monitoring regulatory developments, engaging with regulators, overseeing investment risk, collaborating with product teams to build compliant investment products, and providing internal compliance advisory and training.
Minimum Qualifications:- 7+ years of compliance experience in the investment, asset management, or financial services sector.
- Strong understanding of global investment regulatory frameworks (e.g., FCA, MAS, SEC, ASIC, SFC, and NL investment license requirements).
- Experience managing investment license applications and engaging with regulators.
- Proven ability to navigate complex investment compliance matters, including fund management, structured products, and portfolio compliance.
- Familiarity with AML/KYC obligations related to investment businesses.
- Experience working in a fast-paced, international, and high-growth financial institution.
- Strong stakeholder management and communication skills, with the ability to advise senior leadership.
- FCA-approved status (or ability to become FCA-approved) as a UK Compliance Officer.
- Experience in a FinTech Scale Up a Plus.
What we offer:
- Uncapped flexible annual leave.
- Training subsidy for your professional growth.
- Wellness benefit.
- Team bonding budget to foster collaboration and sense of belonging.
- Flexibility to work from anywhere (for up to 90 days per annum).
Equal Opportunity Statement: Aspire is an equal opportunity employer and is committed to providing equal employment opportunities to all qualified individuals without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or any other protected characteristic as outlined by applicable laws.
Director, Investment Compliance employer: Aspire
Contact Detail:
Aspire Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director, Investment Compliance
✨Tip Number 1
Familiarise yourself with the specific regulatory frameworks mentioned in the job description, such as FCA, MAS, SEC, and ASIC. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance in a global context.
✨Tip Number 2
Network with professionals in the fintech and investment compliance sectors. Attend industry events or webinars where you can meet people who work at Aspire or similar companies. This can provide you with insights into the company culture and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss your experience with investment license applications and engaging with regulators. Be ready to share specific examples of how you've navigated complex compliance matters, as this will be crucial for the role.
✨Tip Number 4
Showcase your ability to work in fast-paced environments by highlighting relevant experiences in your discussions. Emphasising your adaptability and stakeholder management skills will resonate well with Aspire's dynamic culture.
We think you need these skills to ace Director, Investment Compliance
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and qualifications required for the Director, Investment Compliance position. Tailor your application to highlight your relevant experience in compliance and investment regulations.
Craft a Strong CV: Your CV should clearly outline your 7+ years of compliance experience, particularly in investment and financial services. Emphasise your familiarity with global regulatory frameworks and any experience with investment license applications.
Write a Compelling Cover Letter: In your cover letter, express your passion for entrepreneurship and how your background aligns with Aspire's mission. Highlight specific achievements that demonstrate your ability to navigate complex compliance matters and engage with regulators.
Showcase Your Stakeholder Management Skills: Since strong stakeholder management and communication skills are crucial for this role, provide examples in your application of how you've successfully advised senior leadership or collaborated with diverse teams in previous positions.
How to prepare for a job interview at Aspire
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the global investment regulatory frameworks relevant to the role, such as FCA, MAS, SEC, and others. Be prepared to discuss how these regulations impact compliance strategies and your previous experiences navigating them.
✨Showcase Your Stakeholder Management Skills
This role requires strong communication and stakeholder management abilities. Prepare examples from your past where you've successfully advised senior leadership or collaborated with various teams to achieve compliance goals.
✨Demonstrate Your Experience with Investment License Applications
Be ready to talk about your experience managing investment license applications and engaging with regulators. Highlight specific instances where you overcame challenges in this area, as it will be crucial for the role.
✨Emphasise Your Adaptability in Fast-Paced Environments
Aspire is a high-growth FinTech company, so it's important to convey your ability to thrive in fast-paced settings. Share examples of how you've adapted to rapid changes in previous roles and how you can bring that agility to Aspire.
