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- Tasks: Manage compliance programmes and ensure adherence to financial regulations.
- Company: Join a leading private markets asset manager based in London.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Be part of a dynamic team making a real impact in the finance sector.
- Qualifications: Bachelor's degree in Finance, Economics, Law, or related field required.
- Other info: Ideal for those passionate about compliance and regulatory challenges.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
Compliance Manager – Asset Management
Company Overview:
Our client is an investment management firm based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Manager to join their Compliance team and contribute to the success and growth of the firm.
Role Overview:
As a Compliance Manager, you will play a crucial role in maintaining and enhancing the firm's compliance programme, holding generalist responsibilities. You will report to the Head of Compliance and will manage a junior member of the team. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.
Key Responsibilities:
· Manage the Compliance Monitoring Programme
· Review financial promotions, marketing and client communications
· Monitor trading activity to detect potential market abuse
· Daily trade, best execution and liquidity monitoring
· Maintain working knowledge of regulatory frameworks
· Lead on annual market conduct review and risk assessment
· Creating, managing, and enhancing policies and procedures
· Train and manage junior members of the compliance team
· Ad hoc project work
Requirements:
· Bachelor's degree in Finance, Economics, Law, or a related field.
· Generalist compliance experience with a focus on UCITs compliance and ideally SEC exposure.
· Strong knowledge of UK financial regulations and industry best practices.
· Excellent analytical and problem-solving skills with high attention to detail.
· Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.
If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.
For more details, please contact Jon Pettet at jon.pettet@blackswangroup.com
Compliance Manager - Asset Management employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Asset Management
✨Tip Number 1
Familiarise yourself with the latest UK financial regulations and compliance standards. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the asset management sector, especially those working in compliance roles. Attend industry events or join relevant online forums to build connections that could provide insights or referrals for the position.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles. Be ready to share examples of how you identified issues, implemented solutions, and communicated effectively with stakeholders.
✨Tip Number 4
Research the company’s compliance culture and recent regulatory changes affecting their operations. Tailoring your conversation around their specific challenges can set you apart as a candidate who is genuinely interested in contributing to their success.
We think you need these skills to ace Compliance Manager - Asset Management
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Manager in Asset Management. Familiarise yourself with the key requirements and how your experience aligns with them.
Tailor Your CV: Customise your CV to highlight relevant compliance experience, particularly in alternative investment firms. Emphasise your knowledge of UK financial regulations and any specific achievements that demonstrate your analytical and problem-solving skills.
Craft a Compelling Cover Letter: Write a cover letter that clearly articulates your motivation for applying and how your background makes you a suitable candidate. Address your understanding of compliance issues and your ability to communicate effectively with stakeholders.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is accurate and presented professionally.
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Make sure you have a solid understanding of UK financial regulations and compliance standards. Brush up on recent changes and be prepared to discuss how they impact the asset management sector.
✨Showcase Your Analytical Skills
Be ready to demonstrate your analytical and problem-solving abilities. Prepare examples from your past experience where you've successfully navigated complex compliance issues.
✨Communicate Clearly
Since the role involves communicating with various stakeholders, practice explaining complex compliance topics in simple terms. This will show your ability to convey important information effectively.
✨Prepare Questions
Have insightful questions ready about the firm's compliance programme and their approach to regulatory changes. This shows your genuine interest in the role and helps you assess if the company is the right fit for you.
