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For Companies At a Glance
- Tasks: Lead compliance efforts and advise the Board on regulatory matters in a dynamic investment firm.
- Company: Join a well-established investment manager known for its agility and industry reputation.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Be part of an exciting growth phase while making a real impact on compliance and regulation.
- Qualifications: Significant experience in compliance, preferably within a buy-side institution, with strong regulatory knowledge.
- Other info: Ideal for proactive individuals who thrive in team-oriented settings and can manage multiple projects.
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 and compliance sectors. Attend industry events, webinars, or conferences where you can meet potential colleagues or mentors who can provide insights into the role and possibly refer you to opportunities.
✨Tip Number 2
Stay updated on the latest regulatory changes and trends in both the UK and US markets. This knowledge will not only help you in interviews but also demonstrate your commitment to the field and your proactive approach to compliance.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully navigated compliance challenges in previous roles. Highlight your experience with FCA regulations, AIFMD, and MiFID II, as well as any relevant SEC or CFTC experiences.
✨Tip Number 4
Familiarise yourself with the company’s culture and values. Understanding their approach to compliance and risk management will allow you to tailor your discussions and show how you can contribute to their growth and success.
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 relevant experience as a Chief Compliance Officer or in senior compliance roles. 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 your understanding of the regulatory landscape and how your experience aligns with the responsibilities outlined in the job description. Mention specific examples of how you've successfully managed compliance in previous roles.
Highlight Key Skills: Focus on showcasing your strong attention to detail, analytical skills, and problem-solving abilities. Provide examples of how you've effectively communicated and cooperated with diverse teams in a compliance context.
Proofread Your Application: Before submitting, thoroughly proofread your application materials for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a compliance role.
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 instances where you've navigated regulatory challenges and be ready to share those experiences.
✨Demonstrate Proactive Thinking
Highlight your proactive approach to compliance. Discuss how you've identified regulatory changes and implemented necessary adjustments in previous roles, showcasing your ability to stay ahead of the curve.
