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- Tasks: Lead compliance oversight and manage regulatory filings for a dynamic investment platform.
- Company: Join BNG Consulting, a firm dedicated to matching talent with success in the financial sector.
- Benefits: Enjoy medical insurance, 401(k), tuition assistance, and flexible work options.
- Why this job: Be part of a fast-paced team where compliance drives business success and innovation.
- Qualifications: 8-12 years in compliance or legal roles, ideally in asset management; strong project management skills required.
- Other info: This role offers a unique chance to collaborate with senior leadership and investment teams.
The predicted salary is between 48000 - 84000 £ per year.
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Empowering Organizations with the Right Talent for Success, and Candidates with More Than Just a Job – It\’s About Finding the Perfect Match in…
Compliance Manager
We’re hiring a Compliance Manager to join a high-performing investment platform. This is a unique opportunity to work closely with investment teams, trading desks, and senior leadership, playing a critical role in supporting and evolving a sophisticated compliance program.
What You’ll Do:
- Lead compliance oversight for both registered and private fund structures
- Manage key regulatory filings, including Form ADV and Form PF
- Administer Restricted List and MNPI protocols
- Serve as a resource for investment and trading staff on compliance-related questions
- Coordinate responses to investor due diligence requests and regulatory inquiries
- Support internal reviews, testing, and policy development
- Review marketing materials and coordinate with the broader compliance team on committee reporting
- Drive long-term projects aimed at enhancing the compliance framework
Qualifications:
- 8-12 years of compliance or legal experience, ideally within asset management or a related field
- Deep understanding of registered and private funds, including 1940 Act and credit vehicles
- Proven experience with Form ADV, Form PF, and regulatory submissions
- Highly organized and detail-oriented, with strong project management skills
- Exceptional communication and problem-solving abilities
- Comfortable working across teams and handling confidential information with discretion
- Adaptable, proactive, and able to manage competing deadlines
If you\’re looking for a collaborative and fast-paced environment where compliance is integral to business success, we’d love to hear from you.
Seniority level
-
Seniority level
Not Applicable
Employment type
-
Employment type
Full-time
Job function
-
Job function
Finance and Legal
-
Industries
Financial Services and Venture Capital and Private Equity Principals
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Inferred from the description for this job
Medical insurance
Vision insurance
401(k)
Pension plan
Child care support
Paid maternity leave
Paid paternity leave
Student loan assistance
Tuition assistance
Disability insurance
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Compliance Manager employer: BNG Consulting, Inc.
Contact Detail:
BNG Consulting, Inc. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network with professionals in the compliance and investment sectors. Attend industry events or webinars where you can meet people from BNG Consulting, Inc. or similar firms. Building these connections can give you insights into the company culture and potentially lead to a referral.
✨Tip Number 2
Familiarise yourself with the latest regulations and compliance trends in asset management. Being well-versed in topics like Form ADV and Form PF will not only boost your confidence but also demonstrate your commitment to staying updated in this fast-paced field.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance projects in the past. Highlight your organisational skills and ability to handle competing deadlines, as these are crucial for the Compliance Manager role.
✨Tip Number 4
Research BNG Consulting, Inc. thoroughly. Understand their compliance framework and any recent news about them. This knowledge will help you tailor your conversations and show that you're genuinely interested in contributing to their success.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and legal roles, particularly within asset management. Emphasise your familiarity with regulatory filings like Form ADV and Form PF.
Craft a Strong Cover Letter: In your cover letter, express your understanding of the compliance landscape and how your skills align with the responsibilities outlined in the job description. Mention specific projects or experiences that demonstrate your project management and communication abilities.
Showcase Relevant Skills: Clearly outline your organisational skills and attention to detail in your application. Provide examples of how you've successfully managed competing deadlines and handled confidential information in previous roles.
Highlight Team Collaboration: Since the role involves working closely with investment teams and senior leadership, include examples of past collaborative efforts. This will show your ability to work across teams and support compliance-related queries effectively.
How to prepare for a job interview at BNG Consulting, Inc.
✨Showcase Your Compliance Knowledge
Make sure to highlight your understanding of compliance regulations, especially those related to registered and private funds. Be prepared to discuss your experience with Form ADV and Form PF, as well as any relevant regulatory submissions you've handled.
✨Demonstrate Strong Project Management Skills
Since the role requires managing multiple deadlines and projects, be ready to provide examples of how you've successfully led compliance initiatives in the past. Discuss your organisational strategies and how you prioritise tasks effectively.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world compliance scenarios. Think of specific situations where you had to navigate complex compliance issues and how you resolved them while maintaining discretion.
✨Emphasise Communication Skills
As a Compliance Manager, you'll need to liaise with various teams. Prepare to discuss how you've effectively communicated compliance requirements to non-compliance staff and how you handle investor due diligence requests.
