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- Tasks: Oversee regulatory compliance and provide expert guidance on complex matters.
- Company: Leading global asset manager with a focus on investment management.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Collaborative culture with opportunities for growth and strategic initiatives.
- Why this job: Make a real impact in compliance while working with senior stakeholders.
- Qualifications: Significant expertise in asset management regulation and strong leadership skills.
The predicted salary is between 80000 - 100000 £ per year.
My client, a leading global asset manager, is seeking a senior Compliance professional to play a key role in overseeing UK, EU and US regulatory compliance across its investment management platform.
This is a senior, advice-led position with broad responsibility across regulatory compliance, ESG, and cross-border distribution of UCITS and alternative investment products. You will act as a trusted advisor to the business, providing expert guidance on complex regulatory matters, strengthening the firm’s compliance framework and driving alignment with enterprise standards. You will take ownership of compliance policies, controls and monitoring, support board and committee reporting, lead regulatory risk assessments, and contribute to strategic business initiatives. The role also involves supporting US regulatory requirements, overseeing ESG compliance, enhancing training programs, and partnering closely with senior stakeholders across the investment, distribution and operations teams.
Key responsibilities
- Provide senior regulatory advice on US (SEC, ERISA, CFTC) and UK/EU (FCA) requirements
- Oversee compliance for UCITS and alternative investment products distributed globally
- Lead the development, enhancement and maintenance of compliance policies, procedures and controls
- Drive consistency, efficiency and integration across the compliance framework
- Support regulatory risk assessments, monitoring activities, and board/committee reporting
- Advise on ESG regulatory obligations and industry standards
- Act as a senior compliance representative on business change and strategic initiatives
- Build strong relationships with key internal stakeholders and central compliance teams
The successful candidate
- Brings significant expertise in asset management regulation across the UK, EU and US
- Has deep hands-on experience with UCITS, alternatives and cross-border distribution
- Demonstrates strong knowledge of ESG regulatory requirements
- Is confident operating at a senior stakeholder level with a commercial, risk-focused mindset
Personal attributes
- Highly credible, proactive and detail-driven
- Strong leadership presence with excellent communication skills
- Resilient and adaptable, comfortable managing complexity and competing priorities
- Collaborative, with a strong growth mindset and commitment to regulatory excellence
Associate Director Compliance Advisory employer: Attribution Search
Contact Detail:
Attribution Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Associate Director Compliance Advisory
✨Network Like a Pro
Get out there and connect with people in the compliance field! Attend industry events, join relevant LinkedIn groups, and don’t be shy about reaching out to professionals for a chat. Building relationships can open doors that you didn’t even know existed.
✨Showcase Your Expertise
When you get the chance to meet potential employers or network, make sure to highlight your experience with UK, EU, and US regulations. Share specific examples of how you've navigated complex compliance issues. This will show them you’re not just knowledgeable but also a problem-solver.
✨Prepare for Interviews
Do your homework on the company and its compliance challenges. Be ready to discuss how you can enhance their compliance framework and tackle ESG obligations. Practise common interview questions and think about how your skills align with their needs.
✨Apply Through Our Website
Don’t forget to check out our website for job openings! Applying directly through us can give you an edge, as we often have insights into what the hiring managers are looking for. Plus, it’s a great way to stay updated on new opportunities.
We think you need these skills to ace Associate Director Compliance Advisory
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the specific skills and experiences that align with the Associate Director Compliance Advisory role. Highlight your expertise in UK, EU, and US regulatory compliance, especially in asset management.
Craft a Compelling Cover Letter: Use your cover letter to tell us why you're the perfect fit for this position. Share examples of how you've provided senior regulatory advice and strengthened compliance frameworks in previous roles.
Showcase Your Leadership Skills: Since this is a senior role, emphasise your leadership presence and ability to build strong relationships with stakeholders. We want to see how you’ve successfully managed teams or projects in the past.
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensure you’re considered for this exciting opportunity.
How to prepare for a job interview at Attribution Search
✨Know Your Regulations Inside Out
Make sure you brush up on the latest UK, EU, and US regulatory requirements, especially those related to asset management. Being able to discuss specific regulations like SEC, FCA, and ESG obligations will show that you're not just familiar with the basics but are truly engaged with the role.
✨Showcase Your Advisory Skills
Prepare examples of how you've acted as a trusted advisor in previous roles. Think about situations where your guidance made a significant impact on compliance frameworks or strategic initiatives. This will demonstrate your ability to influence and lead at a senior level.
✨Build Relationships in the Room
Since this role involves collaborating with various stakeholders, be ready to discuss how you've built strong relationships in past positions. Highlight your communication skills and give examples of how you've worked effectively with different teams to achieve compliance goals.
✨Demonstrate Your Leadership Presence
This position requires a strong leadership presence, so be prepared to showcase your leadership style. Share experiences where you've led compliance initiatives or training programmes, and explain how you motivate and guide teams through complex regulatory landscapes.