At a Glance
- Tasks: Lead legal and compliance for global fund distribution across multiple markets.
- Company: A leading global investment management firm with a flexible working culture.
- Benefits: 15-month FTC, competitive salary, and opportunities for professional growth.
- Other info: Join a collaborative team and develop your career in a prestigious firm.
- Why this job: Make a significant impact in a dynamic environment while shaping compliance strategies.
- Qualifications: Qualified lawyer with in-house investment management experience and strong compliance knowledge.
The predicted salary is between 90000 - 110000 £ per year.
Our Client, a Leading Global Investment Management firm, is seeking a Head of Legal and Compliance for a long term (15 months) FTC based in the firm's central London offices with flexible working.
The role:
- Lead the legal and compliance framework supporting the firm's UK's UCITS fund distribution activities across the UK, Europe, Asia, the Middle East and other global markets.
- Responsible for Compliance functions SMF 16 and 17.
- Partner with third-party management companies and distribution partners to negotiate and maintain distribution agreements, review fund documentation, and support new market registrations and ongoing cross-border distribution.
- Advise on distribution of UCITS funds, Cayman and Delaware LLC private placements.
- Advise on regulatory development in the UK / EU and MENA including responsibility for AIFMD, MIFID, UCITS requirements, SFDR, GDPR, and EMIR reporting.
- Draft/amend policies and procedures for local markets.
- Review and negotiate contracts and legal agreements: IMAs / fund distribution agreements, fund investor rebate agreements, and vendor contracts.
- Provide oversight of compliance with all laws, rules and regulations governing the firm's FCA authorization.
- Assist as needed with the review and approval of all marketing materials.
- Manage and develop the existing Compliance team members.
- Advise and train staff to understand and apply all compliance requirements.
Candidate Profile:
- Qualified Lawyer with in-house experience in Investment Management at an FCA authorized discretionary management firm.
- Strong familiarity with UCITS funds including management and distribution.
- Experience of Compliance and exposure to Compliance Regulations and understanding of the responsibilities around SMF 10 and 11.
- Experience with all requirements of a compliance officer responsible for an FCA authorized office including regulatory filings, drafting policies and procedures, retaining required books and records, the training and supervision of employees, KYC/AML review, review of marketing materials, and the general development, oversight, and daily implementation of an FCA compliant compliance program.
Head of Legal and Compliance Investment Management 15 months FTC in London employer: Bruin
Join a leading wealth management organisation that values expertise and collaboration, offering a supportive environment where you can thrive as a Corporate Actions specialist. With opportunities for professional growth, mentoring colleagues, and engaging with complex corporate action events, this role is perfect for those looking to make a meaningful impact in a highly regulated financial services setting. Enjoy the benefits of working in a dynamic team that prioritises continuous improvement and operational excellence.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Legal and Compliance Investment Management 15 months FTC in London
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like Bruin when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from Bruin!
We think you need these skills to ace Head of Legal and Compliance Investment Management 15 months FTC in London
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like Head of Legal and Compliance Investment Management 15 months FTC, make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at Bruin. Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at Bruin
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at Bruin.
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit Bruin in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at Bruin.
