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- Tasks: Lead compliance efforts and advise the Board on regulatory matters.
- Company: Join a respected investment manager known for its agility and growth.
- Benefits: Enjoy a dynamic work environment with opportunities for professional development.
- Why this job: Be part of a growing firm making an impact in the investment industry.
- Qualifications: Must have significant compliance experience, preferably in a buy-side institution.
- Other info: Ideal for proactive individuals who thrive in team-oriented settings.
The predicted salary is between 43200 - 72000 £ per year.
We are partnering with a leading investment manager to find an experienced regulatory professional to take on the role of Chief Compliance Officer and lead a small team. This is an excellent opportunity to join a well-established yet agile firm, highly regarded in the industry, at an exciting time of growth and expansion.
Duties will include:
- Advise and report to the Board on compliance and regulatory matters, ensuring that they are kept updated of key regulatory risks, processes and developments.
- Be the interface with the FCA developing strong working relationships.
- Responsibility for SEC and (to the extent applicable) CFTC/NFA compliance and reporting.
- Managing all regulatory reporting and filings.
- Monitoring and managing potential conflicts of interest, including key controls around MNPI, MAR and Expert Networks.
- Provide real-time advisory compliance support as well as regulatory guidance in relation to new business initiatives.
- Drafting and updating policies and procedures.
- Identify regulatory changes in relevant jurisdictions and take the lead on implementing changes as required, proactively respond to business changes.
- Assisting with the ongoing compliance with the Senior Managers and Certification Regime.
- Assisting with the review and approval of all marketing prospects, typically in the UK, US and Europe.
Skills and Preferred Qualifications:
- Significant experience as a Chief Compliance Officer or senior compliance professional within a buy-side institution, preferably with some credit exposure.
- In-depth knowledge of FCA regulations, AIFMD, and MiFID II. Familiarity with U.S. regulations (SEC and CFTC) would be advantageous.
- Knowledge of existing and new regulatory requirements and frameworks.
- Strong attention to detail, analytical and independent thinker and problem-solver.
- Proactive and organized, with an ability to work concurrently on multiple work streams.
- Ability to effectively communicate and cooperate with a diverse range of people and work in a team-oriented environment.
Chief Compliance Officer | Investment Manager employer: Avenell Search Ltd
Contact Detail:
Avenell Search Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Chief Compliance Officer | Investment Manager
✨Tip Number 1
Network with professionals in the investment management sector, especially those who have experience in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest regulatory trends.
✨Tip Number 2
Familiarise yourself with the specific regulations mentioned in the job description, such as FCA regulations, AIFMD, and MiFID II. Being able to discuss these in detail during your conversations will demonstrate your expertise and commitment to the role.
✨Tip Number 3
Prepare to showcase your leadership skills by discussing past experiences where you successfully managed a team or led compliance initiatives. Highlighting your ability to guide others through complex regulatory landscapes will set you apart.
✨Tip Number 4
Stay updated on current events and changes in regulations that could impact the investment management industry. Being knowledgeable about recent developments will allow you to engage in informed discussions and show your proactive approach to compliance.
We think you need these skills to ace Chief Compliance Officer | Investment Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience as a Chief Compliance Officer or in a senior compliance role. Emphasise your knowledge of FCA regulations, AIFMD, and MiFID II, as well as any familiarity with U.S. regulations.
Craft a Compelling Cover Letter: In your cover letter, clearly articulate why you are the right fit for this role. Discuss your experience in regulatory compliance, your ability to manage teams, and how you can contribute to the firm's growth and expansion.
Showcase Your Skills: Highlight your strong attention to detail, analytical skills, and problem-solving abilities in your application. Provide specific examples of how you've successfully navigated regulatory challenges in previous roles.
Research the Company: Familiarise yourself with the investment manager's operations and recent developments in the industry. This will help you tailor your application and demonstrate your genuine interest in the firm during the selection process.
How to prepare for a job interview at Avenell Search Ltd
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations, AIFMD, and MiFID II. Brush up on U.S. regulations like SEC and CFTC as well, as this knowledge will be crucial in demonstrating your expertise during the interview.
✨Showcase Your Leadership Skills
As a Chief Compliance Officer, you'll be leading a team. Be prepared to discuss your leadership style and provide examples of how you've successfully managed teams in the past, especially in high-pressure situations.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills and ability to handle compliance issues. Think of specific examples from your experience where you identified regulatory risks and implemented effective solutions.
✨Demonstrate Strong Communication Skills
You'll need to interface with the Board and various stakeholders. Practice articulating complex regulatory concepts in a clear and concise manner, showcasing your ability to communicate effectively with diverse audiences.
