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- Tasks: Join us to manage compliance monitoring and enhance our systems and controls.
- Company: Be part of a market-leading firm in alternative asset management.
- Benefits: Enjoy a dynamic work environment with opportunities for growth and development.
- Why this job: Make an impact in compliance while collaborating with diverse teams and stakeholders.
- Qualifications: 4-7 years' experience in alternative investment fund management is essential.
- Other info: Office presence required four days a week; embrace a blend of administrative and advisory tasks.
The predicted salary is between 48000 - 72000 £ per year.
A new role at a market leading firm. The role will predominantly be focused on the Firm’s compliance monitoring programmes but will also include:
- Policy and procedure review
- Third party due diligence work
- Regulatory filings and financial promotions review
They'd like someone to be in the office for four days per week.
RESPONSIBILITIES
- Reporting to the Head of Compliance the Compliance Manager
- Predominantly responsible for completing the Compliance Monitoring Programmes which includes collating information and documentation, conducting the tests, suggesting recommendations or enhancements to systems and controls and preparing the requisite reports
- Review of Compliance Policies and Procedures
- Assistance in implementing regulatory change and conduct regulatory change horizon scanning
- Preparing questionnaires for and conducting third party service provider due diligence including assisting with onsite visits
- Preparing regulatory filings and applications
- Produce training slides and conduct compliance training
- Review and approve financial promotions
- Conduct thematic reviews and gap analyses; and
- Provide compliance advice and respond to queries
COMPETENCIES
- Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable
- Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC registered investment advisers is desirable
- Strong experience conducting tests and making recommendations through compliance monitoring programmes
- Knowledge and experience of best execution and post-trade surveillance monitoring
- Strong experience in reviewing Compliance Policies and Procedures
- Knowledge and understanding of ESG regulation
- Demonstrable knowledge and understanding of the financial promotions rules
- Able to work independently and within a team with strong interpersonal skills to work with various stakeholders across the business
- Willing to do simple administrative and also more complex advisory work
- Interest in using technology to find solutions to maintain compliance; and
- Organized, analytical with strong attention to detail
QUALIFICATIONS
- 4-7 years’ experience working with buy side Alternative Investment Fund Manager or similar firm
Compliance Monitoring - Alternative Asset Management employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring - Alternative Asset Management
✨Tip Number 1
Familiarise yourself with the specific compliance monitoring programmes used in alternative asset management. Understanding the nuances of these programmes will help you demonstrate your expertise during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience with AIFMD and MiFID II. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Stay updated on the latest regulatory changes and trends in compliance, particularly those affecting alternative investments. This knowledge will not only prepare you for potential interview questions but also show your commitment to the field.
✨Tip Number 4
Prepare to discuss your experience with third-party due diligence and regulatory filings. Be ready to share specific examples of how you've successfully navigated these processes in previous roles.
We think you need these skills to ace Compliance Monitoring - Alternative Asset Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring, particularly within alternative asset management. Emphasise your knowledge of AIFMD, MiFID II, and the FCA Handbook, as well as any experience with regulatory filings.
Craft a Compelling Cover Letter: In your cover letter, explain why you are interested in this specific role and how your background aligns with the responsibilities outlined. Mention your experience with compliance policies and procedures, and your ability to conduct due diligence.
Showcase Relevant Skills: Highlight your analytical skills and attention to detail in your application. Provide examples of how you've successfully conducted compliance tests or made recommendations in previous roles, as this will demonstrate your capability for the position.
Prepare for Potential Questions: Think about potential interview questions related to compliance monitoring and regulatory changes. Be ready to discuss your experience with ESG regulations and financial promotions, as these are key areas for the role.
How to prepare for a job interview at Austin Andrew
✨Know Your Regulations
Make sure you have a solid understanding of AIFMD, MiFID II, and the FCA Handbook. Brush up on the US Investment Company Act 1940 and SEC regulations too, as these will likely come up during your interview.
✨Showcase Your Experience
Be prepared to discuss your previous experience with compliance monitoring programmes. Highlight specific tests you've conducted and recommendations you've made, as this will demonstrate your hands-on knowledge.
✨Prepare for Scenario Questions
Expect scenario-based questions where you might need to suggest improvements to compliance policies or handle regulatory changes. Think through potential situations in advance and how you would approach them.
✨Demonstrate Teamwork and Independence
This role requires both independent work and collaboration with various stakeholders. Be ready to share examples of how you've successfully worked in teams while also managing your own tasks effectively.
