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- Tasks: Manage compliance programmes and ensure adherence to financial regulations.
- Company: Leading investment management firm based in London.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Why this job: Join a dynamic team and make a real impact on compliance standards.
- Qualifications: Degree in Finance, Economics, or Law; compliance experience preferred.
- Other info: Opportunity for career growth and to lead a junior team member.
The predicted salary is between 36000 - 60000 £ per year.
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.
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
- 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.
Compliance Manager - Asset Management in England 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 in England
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK financial regulations and compliance practices. Be ready to discuss how you've tackled complex compliance issues in the past. Show them you’re the expert they need!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you and match your skills. Tailor your approach to each company to stand out!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. It keeps you fresh in their minds and demonstrates your professionalism. Let’s make sure they remember you!
We think you need these skills to ace Compliance Manager - Asset Management in England
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience with financial regulations and compliance issues, especially if you have UCITS or SEC exposure. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can contribute to our firm's success. Keep it concise but impactful – we love a good story!
Showcase Your Analytical Skills: Since the role requires strong analytical abilities, make sure to include examples of how you've tackled complex compliance issues in the past. We want to see your problem-solving skills in action!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it makes the process smoother for everyone involved!
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Make sure you brush up on UK financial regulations and compliance standards relevant to asset management. Being able to discuss specific regulations like UCITS and SEC exposure will show that you’re not just familiar with the basics, but that you’re ready to dive deep into the role.
✨Showcase Your Analytical Skills
Prepare examples of how you've tackled complex compliance issues in the past. Use the STAR method (Situation, Task, Action, Result) to structure your responses, highlighting your analytical and problem-solving skills. This will demonstrate your capability to handle the responsibilities of the Compliance Manager role.
✨Communicate Clearly
Practice explaining complex compliance concepts in simple terms. You’ll need to communicate effectively with various stakeholders, so being able to break down intricate issues will be key. Consider doing mock interviews with a friend to refine your communication style.
✨Leadership and Team Management
Since you'll be managing a junior team member, think about your leadership style and how you can support their development. Be ready to discuss your experience in training or mentoring others, as this will show that you can lead the compliance team effectively.
