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- Tasks: Join us in monitoring compliance and enhancing systems in the alternative asset management sector.
- Company: Austin Andrew is a leading firm in investment management, focusing on innovative solutions.
- Benefits: Enjoy a collaborative office environment with opportunities for professional growth and development.
- Why this job: Be part of a dynamic team that values compliance and regulatory excellence while making a real impact.
- Qualifications: 4-7 years of experience in alternative investment fund management is essential.
- Other info: This role requires being in the office four days a week.
The predicted salary is between 43200 - 72000 £ per year.
The role will predominantly focus 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 four days per week.
RESPONSIBILITIES
Reporting to the Head of Compliance, the Compliance Manager will be responsible for completing the Compliance Monitoring Programmes, which includes collating information and documentation, conducting tests, suggesting recommendations or enhancements to systems and controls, and preparing reports.
- Review of Compliance Policies and Procedures
- Assist in implementing regulatory changes and conduct horizon scanning for regulatory developments
- Prepare questionnaires and conduct third-party service provider due diligence, including onsite visits
- Prepare regulatory filings and applications
- Create training materials and conduct compliance training sessions
- 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; familiarity with UCITS/COLL is desirable
- Knowledge of US Investment Company Act 1940 and SEC regulations; experience at SEC-registered investment advisers is desirable
- Experience conducting tests and making recommendations through compliance monitoring programmes
- Knowledge of best execution and post-trade surveillance monitoring
- Experience reviewing Compliance Policies and Procedures
- Understanding of ESG regulations
- Knowledge of financial promotions rules
- Ability to work independently and as part of a team, with strong interpersonal skills
- Willingness to handle administrative tasks and complex advisory work
- Interest in leveraging technology to maintain compliance
- Organized, analytical, with strong attention to detail
QUALIFICATIONS
- 4-7 years of experience working with buy-side Alternative Investment Fund Managers or similar firms.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Analyst
Industries: Investment Management, Venture Capital, Private Equity
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 latest regulations and compliance frameworks relevant to Alternative Asset Management, such as AIFMD and MiFID II. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those working in alternative investments. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges they face.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance monitoring programmes in previous roles. Highlight your analytical skills and attention to detail, as these are crucial for the responsibilities outlined in the job description.
✨Tip Number 4
Showcase your ability to leverage technology in compliance processes. Be ready to discuss any tools or software you've used to enhance compliance monitoring, as this aligns with the firm's interest in utilising technology for maintaining compliance.
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 passionate about compliance in the investment management sector. Mention specific examples of how you've successfully implemented compliance programmes or conducted due diligence in previous roles.
Showcase Your Skills: Highlight your analytical skills and attention to detail in your application. Provide examples of how you've conducted tests and made recommendations through compliance monitoring programmes, as this is crucial for the role.
Prepare for Potential Questions: Anticipate questions related to your understanding of ESG regulations and financial promotions rules. Be ready to discuss how you would approach compliance training sessions and thematic reviews, as these are key responsibilities of the position.
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.
✨Demonstrate Your Analytical Skills
Be prepared to discuss your experience with compliance monitoring programmes. Share specific examples of tests you've conducted and recommendations you've made, showcasing your analytical abilities and attention to detail.
✨Showcase Your Interpersonal Skills
Since the role involves working both independently and as part of a team, highlight your interpersonal skills. Be ready to discuss how you've collaborated with others in previous roles and how you handle complex advisory work.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills. Think about potential compliance challenges you might face in the role and how you would approach them, especially regarding regulatory changes and third-party due diligence.
