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- Tasks: Lead compliance initiatives and manage regulatory changes in a dynamic investment environment.
- Company: Join a leading firm in alternative asset management with a focus on innovation.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Why this job: Make a real impact in compliance while working with cutting-edge regulations and sustainability initiatives.
- Qualifications: 4-7 years of experience in compliance, preferably in alternative investments.
- Other info: Collaborative team culture with strong growth potential in the finance sector.
The predicted salary is between 43200 - 72000 £ per year.
Reporting to the Head of Compliance, the Senior Compliance Manager should have varied experience to take on a wide range of responsibilities.
- Lead regulatory change implementation and project management within the Compliance Team as part of the Firm's horizon scanning.
- Assist with the Firm's CASS Audit and maintenance with the CASS Framework to include maintenance of the CASS Rule Map and Risk Register, thematic reviews of policies and procedures and advisory support to the business.
- Assist the Chief Risk Officer with the Firm's IFPR Framework.
- Act as the Compliance Team's lead on UK, EU and overseas ESG & Sustainability Regimes (e.g. SDR, SFDR, TCFD) to provide advisory support to the Group Sustainability Team.
- Assist with US SEC Compliance to include Form ADV and other regulatory filings.
- Assist with the maintenance of the Data Protection Framework and Data Governance projects.
- Review and approval of financial promotions and client communications.
- Assist with the review and maintenance of the Business Risk Assessment, Financial Crime Risk Assessment, Market Abuse Risk Assessments and corresponding FCA and US SEC Compliance Monitoring Programmes.
- Assist the Compliance team to conduct and complete Compliance Monitoring Programmes.
- Assist in the review of the Firm's Compliance Manual and Compliance Policies.
- Assist the Head of Compliance with periodic reports to the Firm and Group's governing bodies and forums.
- Assist with the preparation of due diligence questionnaires and participation in onsite meetings (inbound and outbound requests).
- Produce training slides and deliver training to the business.
- General compliance advisory support to the business.
- Any other relevant tasks assigned by the Head of Compliance.
COMPETENCIES
- Strong knowledge of AIFMD, MiFID II, UK GDPR and the FCA Handbook (to include but not limited to CASS, MiFIDPRU and ESG Sourcebooks).
- Strong knowledge of the US Investment Advisers Act and experience dealing with US SEC regulatory filings at a Registered Investment Adviser.
- Good retail and professional product knowledge to include VCTs, EIS, Business Relief, Investment Trusts, LP/GP Structures and Segregated Managed Accounts.
- Good knowledge and understanding of financial promotion rules.
- Good knowledge of ESG & Sustainability Regimes (SDR, SFDR, TCFD, ESG Sourcebook).
- Able to work independently and collaboratively within a Team.
- Strong interpersonal skills in dealing with internal and external stakeholders.
- An interest in using technology to enhance and optimize the Compliance Function.
- Strong organizational, analytical and attention to detail.
- Contribute, or otherwise assist, as required.
QUALIFICATIONS AND EXPERIENCE REQUIRED
- Strong academic background, law undergraduate degree preferable but not necessary, ideally including a postgraduate qualification and/or compliance professional diploma.
- 4-7 years' experience working with buy side Alternative Investment Fund Manager or similar firm.
Seniority level: Mid‐Senior level
Employment type: Full‐time
Job function: Analyst
Industries: Investment Management and Venture Capital and Private Equity Principals.
Senior Compliance Manager - Alternative Asset Managment in London employer: Anonymous
Contact Detail:
Anonymous Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager - Alternative Asset Managment in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and investment management sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching the company’s compliance practices and recent regulatory changes. Show them you’re not just another candidate; you’re someone who’s genuinely interested in their operations and ready to contribute from day one.
✨Tip Number 3
Practice your responses to common compliance interview questions. Think about how your experience aligns with their needs, especially around AIFMD, MiFID II, and ESG regulations. We want you to feel confident and ready to impress!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who are proactive and engaged with our platform. Let’s get you that Senior Compliance Manager role!
We think you need these skills to ace Senior Compliance Manager - Alternative Asset Managment in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your experience with regulatory frameworks like AIFMD and MiFID II, and don’t forget to showcase your project management skills!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance in alternative asset management and how your background makes you the perfect fit for our team.
Showcase Your Skills: We want to see your strong interpersonal skills and analytical abilities. Be sure to include examples of how you've successfully navigated compliance challenges or led projects in your previous roles.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity with StudySmarter.
How to prepare for a job interview at Anonymous
✨Know Your Regulations
Make sure you brush up on your knowledge of AIFMD, MiFID II, and the FCA Handbook. Being able to discuss these regulations confidently will show that you're not just familiar with compliance but that you can lead regulatory change effectively.
✨Showcase Your Project Management Skills
Prepare examples of how you've successfully managed compliance projects in the past. Highlight your experience with CASS audits or any other relevant frameworks, as this will demonstrate your ability to handle the responsibilities of the role.
✨Engage with ESG Topics
Since the role involves advisory support on ESG & Sustainability regimes, be ready to discuss your understanding of SDR, SFDR, and TCFD. Showing genuine interest and knowledge in these areas will set you apart from other candidates.
✨Prepare for Scenario Questions
Expect to face scenario-based questions during the interview. Think about potential compliance challenges a firm might face and how you would address them. This will showcase your analytical skills and attention to detail, which are crucial for the role.
