At a Glance
- 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.
- Other info: Collaborative team culture with strong growth potential in the finance sector.
- 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.
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
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StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager - Alternative Asset Managment in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Anonymous looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Manager - Alternative Asset Managment in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Anonymous. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Anonymous
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Anonymous’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
