At a Glance
- Tasks: Lead regulatory change and manage compliance projects in a dynamic environment.
- Company: Join a leading firm in alternative asset management with a strong compliance focus.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Other info: Collaborative team culture with a focus on ESG and innovative compliance solutions.
- Why this job: Make a real impact on compliance and regulatory frameworks in the finance sector.
- Qualifications: 4-7 years of experience in compliance, with strong knowledge of relevant regulations.
The predicted salary is between 48000 - 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.
- 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.
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.
Senior Compliance Manager - Alternative Asset Managment employer: Anonymous
Join an innovative engineering company in West London that values creativity and technical expertise, offering a unique opportunity to transition from a DevOps role into broader software engineering. With a focus on complex, real-world systems, you'll be part of a small, highly skilled team where your contributions will have a significant impact. Enjoy a supportive work culture that promotes professional growth, competitive salary, and benefits, all while working in a hybrid environment that fosters flexibility and collaboration.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager - Alternative Asset Managment
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and alternative asset management sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of AIFMD, MiFID II, and ESG regulations. We want you to be able to discuss these topics confidently and show how your experience aligns with the role.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and expertise. Use our website to find roles that excite you and match your skills in compliance and alternative investments.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. It shows your enthusiasm for the role and gives you another chance to highlight your fit for the position.
We think you need these skills to ace Senior Compliance Manager - Alternative Asset Managment
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the specific skills and experiences mentioned in the job description. Highlight your knowledge of AIFMD, MiFID II, and other relevant regulations to show us you’re the right fit for the Senior Compliance Manager role.
Craft a Compelling Cover Letter:Use your cover letter to tell us why you’re passionate about compliance and how your background aligns with our needs. Mention any experience with regulatory change implementation or project management to catch our eye!
Showcase Your Experience:In your application, don’t just list your previous roles—describe your responsibilities and achievements. We want to see how your 4-7 years of experience in alternative investment fund management has prepared you for this position.
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. Plus, it shows us you’re keen on joining the StudySmarter team!
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 them but can also apply them in real-world scenarios.
✨Showcase Your Project Management Skills
Since you'll be leading regulatory change implementation, prepare examples of past projects you've managed. Highlight your role, the challenges faced, and how you successfully navigated them. This will demonstrate your capability in handling complex compliance tasks.
✨Understand ESG Requirements
With ESG being a key focus, make sure you can articulate your understanding of its implications in compliance. Bring examples of how you've contributed to ESG initiatives in previous roles, as this will set you apart from other candidates.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Think through potential challenges related to CASS audits or IFPR frameworks and how you would address them. This will showcase your analytical thinking and readiness for the role.
