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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: Work in the office four days a week, fostering teamwork and collaboration.
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, inter alia:
- 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 is 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.
- Provide compliance advice and respond to queries.
COMPETENCIES
- Strong knowledge and understanding of AIFMD, MiFID II and the FCA Handbook; knowledge of 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.
- 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 interviews 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 strong 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.
Demonstrate Teamwork and Independence: Mention instances where you've worked both independently and as part of a team. This role requires collaboration with various stakeholders, so showcasing your interpersonal skills will be beneficial.
How to prepare for a job interview at Austin Andrew
✨Showcase Your Regulatory Knowledge
Make sure to highlight your understanding of AIFMD, MiFID II, and the FCA Handbook during the interview. Be prepared to discuss how these regulations impact compliance monitoring and provide examples from your past experience.
✨Demonstrate Analytical Skills
Since the role involves conducting tests and making recommendations, be ready to share specific instances where you've successfully identified gaps in compliance policies or procedures. Use data or case studies to illustrate your analytical approach.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world compliance situations. Think about challenges you've faced in previous roles and how you navigated them, especially regarding regulatory changes or third-party due diligence.
✨Emphasise Team Collaboration
The role requires working with various stakeholders, so be sure to convey your interpersonal skills. Share examples of how you've effectively collaborated with teams or departments to enhance compliance processes or training initiatives.
