At a Glance
- Tasks: Ensure investment activities comply with regulations and internal policies while advising stakeholders.
- Company: Join a leading financial services firm focused on compliance excellence.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Other info: Dynamic role with opportunities to influence and mentor within a collaborative environment.
- Why this job: Make a real impact in the financial sector by ensuring compliance and driving change.
- Qualifications: Experience in investment compliance and strong communication skills are essential.
The predicted salary is between 60000 - 80000 € per year.
The Investment Compliance Manager supports the Head of Compliance in ensuring that all investment activities meet regulatory requirements and internal policies. The role focuses on monitoring compliance, advising stakeholders, and overseeing both pre- and post-trade investment controls.
Key Responsibilities
- Regulatory & Policy Oversight
- Develop and maintain compliance policies and procedures aligned with regulatory requirements
- Ensure adherence to key regulations (e.g. market abuse, trade reporting, derivatives regulations, best execution)
- Investment Compliance Monitoring
- Manage compliance rules within the investment management system and oversee trade alerts
- Monitor pre- and post-trade activity to ensure adherence to investment restrictions
- Advisory & Transaction Support
- Support investment teams on new and existing transactions
- Conduct due diligence and financial crime checks
- Provide guidance on compliance implications of proposed activities
- Risk & Assurance
- Contribute to a risk-based compliance monitoring and testing programme
- Identify and escalate compliance risks and emerging issues
- Regulatory Insight
- Keep up to date with regulatory developments and industry trends
- Translate regulatory changes into practical recommendations for the business
- Reporting & Communication
- Prepare compliance reports for senior management and committees
- Liaise with internal stakeholders and external parties on compliance matters
- Training & Development
- Deliver training on compliance policies and regulatory requirements
- Promote awareness of compliance responsibilities across the business
- Systems Oversight
- Monitor and assess effectiveness of compliance systems and controls
Skills & Experience
Essential
- Experience in investment compliance within financial services (ideally asset management)
- Strong Investment Compliance Coding experience & LDI (Liability Driven Investment) exposure is required
- Strong understanding of regulatory frameworks affecting investments
- Experience operating pre- and post-trade compliance systems (e.g. order management platforms)
- Ability to analyse regulatory requirements and apply them in practice
- Strong communication skills with stakeholders at all levels
- Ability to influence, challenge, and drive change
- Strong organisational skills with the ability to manage multiple priorities
Desirable
- Professional compliance or financial qualification (e.g. ICA, CFA, CISI, ACAMS)
- Knowledge of liability-driven investment strategies
- Experience managing or mentoring others
Investment Compliance Manager in London employer: Actus Search
As an Investment Compliance Manager at our firm, you will thrive in a dynamic and supportive work environment that prioritises compliance excellence and professional growth. We offer comprehensive training programmes, a collaborative culture that encourages innovation, and the opportunity to work alongside industry experts in a vibrant financial hub. Join us to make a meaningful impact while advancing your career in a company that values integrity and compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Investment Compliance Manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment compliance field. Attend industry events or webinars, and don’t be shy about asking for informational interviews. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those interviews by brushing up on your regulatory knowledge. Make sure you can discuss recent changes in compliance regulations and how they impact investment activities. We want you to show off your expertise and confidence!
✨Tip Number 3
Don’t forget to tailor your approach! When you’re applying through our website, make sure your application reflects the specific skills and experiences mentioned in the job description. We love seeing candidates who take the time to align their background with what we’re looking for.
✨Tip Number 4
Follow up after your interviews! A quick thank-you email can go a long way in keeping you top of mind. We appreciate candidates who show enthusiasm and professionalism, so let us know you’re still interested!
We think you need these skills to ace Investment Compliance Manager in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experience mentioned in the job description. Highlight your investment compliance experience and any relevant coding skills to catch our eye!
Craft a Compelling Cover Letter:Use your cover letter to tell us why you're the perfect fit for the Investment Compliance Manager role. Share specific examples of how you've navigated regulatory frameworks and supported investment teams in the past.
Showcase Your Communication Skills:Since strong communication is key, make sure your application demonstrates your ability to liaise with stakeholders at all levels. Use clear and concise language to convey your points effectively.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role without any hiccups!
How to prepare for a job interview at Actus Search
✨Know Your Regulations
Make sure you brush up on the key regulations relevant to investment compliance, like market abuse and trade reporting. Being able to discuss these confidently will show that you’re not just familiar with the rules but can also apply them in practice.
✨Showcase Your Coding Skills
Since strong investment compliance coding experience is essential, be prepared to discuss your technical skills. Bring examples of how you've used coding in compliance systems or any projects where you’ve implemented compliance rules effectively.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about past experiences where you identified compliance risks or provided guidance on transactions, and be ready to share those stories.
✨Communicate Clearly
Strong communication skills are a must, so practice articulating your thoughts clearly and concisely. Be prepared to explain complex compliance concepts in simple terms, as you’ll need to liaise with stakeholders at all levels.
