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For Companies At a Glance
- Tasks: Manage compliance programmes and ensure regulatory adherence in a dynamic asset management environment.
- Company: Join a leading private markets asset manager based in London, committed to compliance excellence.
- Benefits: Enjoy a collaborative team culture and opportunities for professional growth in a reputable firm.
- Why this job: Be part of a small team making a big impact on compliance and ethical practices in finance.
- Qualifications: Bachelor's degree in Finance, Economics, or Law; compliance experience in alternative investments required.
- Other info: Ideal for detail-oriented individuals passionate about financial regulations and stakeholder communication.
The predicted salary is between 43200 - 72000 £ per year.
Overview
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
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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 values. Understanding their approach to compliance will allow you to tailor your discussions and show how your experience aligns with their goals.
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 compliance monitoring programmes and regulatory reporting to tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasise your substantial compliance experience, particularly within alternative investment firms. Use specific examples to demonstrate your understanding of UK financial regulations and how you've successfully navigated complex compliance issues.
Showcase Analytical Skills: Given the importance of analytical skills in this role, include instances where you've identified and implemented regulatory changes or enhanced compliance policies. This will show your ability to handle the analytical demands of the position.
Tailor Your Application: Customise your application documents to reflect the key responsibilities and requirements outlined in the job description. Use keywords from the listing to ensure your application resonates with the hiring team and demonstrates your fit for the role.
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 firm’s operations.
✨Showcase Your Analytical Skills
Be ready to demonstrate your analytical and problem-solving abilities. Prepare examples from your past experience where you successfully identified and resolved compliance issues.
✨Communicate Clearly
Practice explaining complex compliance topics in simple terms. You’ll need to communicate effectively with various stakeholders, so clarity is key.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your decision-making skills in compliance situations. Think through potential challenges you might face in the role and how you would handle them.
