Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Join our team as a Compliance Manager, ensuring regulatory compliance and supporting governance.
- Company: Carne Group is a leading player in the funds industry with $2tn AUM and a diverse team.
- Benefits: Enjoy a dynamic, multicultural work environment with opportunities for skill development.
- Why this job: Be part of an innovative company that values excellence and diversity in the asset management sector.
- Qualifications: 4-5 years of compliance experience and a relevant degree are required; industry qualifications preferred.
- Other info: We encourage applicants from all backgrounds to apply, even if you don't meet every requirement.
The predicted salary is between 36000 - 60000 £ per year.
This job is brought to you by Jobs/Redefined, the UK’s leading over-50s age inclusive jobs board.
Vacancy Name
Manager – Compliance (UK)
Location(s)
London
Employment Type
Permanent
Department
Governance, Legal & Compliance
Description
Who are we looking for?
In the Carne Group we are looking for a Compliance Officer with at least four years of experience to join our growing team in our regulated UK based entities. This role is for someone who is self-motivated, professional, and looking to gain exposure in a global workplace.
What are the minimum requirements you need for the role?
- 4-5 years’ experience of Compliance within a Host ACD environment or Authorised Fund Manager/Alternative Investment Fund Manager or fund administration environment
- Knowledge and experience of UK products (e.g., UCITS, NURs, QIS, AIFs, Unit Trusts, OEICs, ICVCs, Investment Trusts etc)
- Experience of dealing with third party investment managers
- Third level degree required
- Professional qualification e.g., accountancy or law preferred
- Relevant industry qualifications (e.g., investment management, investment advice/planning, investment operations) preferred
What is the role and your responsibilities?
Compliance and Regulatory Matters
- Providing compliance advisory services to CGUK/CIFS in relation to their Host ACD and AIFM services and ARs
- Supporting (including reviewing and challenging) the establishment and maintenance of effective and robust systems, controls and governance
- Conducting second line of defence compliance monitoring in accordance with the FCA Handbook
- Assessing funds for compliance with CGUK’S Product Governance requirements
- Reviewing fund Value Assessments in accordance with COLL
- Maintaining and enhancing compliance policies and procedures, in line with the Carne Group and in conjunction with the Compliance Manager
- Conflicts of interest management
- Assisting with the on-boarding of new clients and platforms
- Reviewing and approving Financial Promotions
- Conducting internal investigations of breaches, complaints and other issues
- FCA RegData reporting (in conjunction with Finance) and Connect submissions
- Maintenance of recordkeeping
- Advising CGUK/CIFSUK on current and forthcoming FCA (and relevant European) regulatory requirements, including Financial Crime (AML/CTF, Anti-Bribery)
- Overseeing the compliance of the Appointed Representatives with CIFSUK policies and procedures
- Ad hoc projects and tasks
Key requirements
- To comply with all relevant CGUK/CIFSUK policies and requirements.
- Good knowledge of the FCA Handbook (e.g., SYSC, COLL, COBs, FUND, SUP, CASS, PROD and ESG)
- Attendance at governance committees
- Supporting engagement with the FCA and other regulators
- Investigation of suspicious activity / attempted fraud and reporting to MLRO for onward reporting to relevant bodies, including the National Crime Agency.
- Supporting engagement with investment managers
- Supporting and engaging with Carne Group business areas as appropriate – Finance, Legal, CoSec, Operations, Business Development, Relationship Management and Operational Due Diligence
- Engagement with industry colleagues and contacts so as to keep abreast of market developments, technical matters and regulatory changes
What competencies do you require?
- Teamwork (Team player) – Develops relationships within and across teams, working collaboratively to resolve potential challenges quickly.
- Developing Others – Motivates and supports others to deliver results, coaching them to optimise performance.
- Leading and Influencing – Takes the lead within the team and wider organisation, able to influence and persuade others in order to achieve objectives.
- Effective Communication – Communicates effectively, engaging with others in a warm and professional manner.
- Planning and Organising – Organises and plans work effectively, ensuring delivery to quality and timescales in the short and longer term.
- Analytical (Attention to detail) – Analyses and understands relevant and complex information and data to draw appropriate insights.
- Strategic Focus (Problem-Solving) – Thinks strategically, thrives on innovation, considers the wider picture to identify new approaches to enhance business impact.
- Adaptability – Adapts approach and responds effectively to different situations, people and new opportunities.
- Resilience – Works well under pressure, bounces back quickly from setbacks in a positive and constructive manner.
- Drive and Motivation – Highly motivated and driven, able to focus on what needs to be achieved and enthuses others to do this.
- Quality – Motivated to produce accurate, quality, and timely work output.
- Client-centric focus – Motivated by customer-facing environments, understanding their needs, and providing a good service.
- Learning Mindset – Curiosity to learn and understand key factors, new techniques or technologies affecting their work.
Who is Carne Group?
Carne Group has established itself in the funds industry with $2tn in AUM supported by 600+ staff and four regulated management companies. Together with a large team of industry specialists, Carne serves more than 650+ traditional and alternative asset management clients from key fund jurisdictions and financial hubs including Ireland, Luxembourg, Zurich, Lisbon, London, New York, Cayman and Channel Islands.
Excellence and innovation are central to Carne’s work and we are committed to attracting and retaining the best talent to deliver an unrivalled service to our clients. Whilst working with Carne, you will be provided with opportunities to develop your skills and experience by working in a dynamic, innovative, and multicultural environment where exciting careers are built.
We love hearing from anyone who is enthusiastic about changing the asset management industry. Not sure if you meet all the requirements? Let us decide! Research shows that members of other under-represented groups tend not apply to jobs when they think they may not meet every qualification, when in fact, they do! At Carne we are committed to creating a diverse and inclusive environment and strongly encourage you to apply.
#J-18808-Ljbffr
Manager - Compliance (UK) employer: Carne
Contact Detail:
Carne Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Manager - Compliance (UK)
✨Tip Number 1
Make sure to familiarize yourself with the FCA Handbook, especially sections like SYSC, COLL, and CASS. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance and regulatory matters.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have experience in Host ACD or AIFM environments. Engaging with industry colleagues can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Stay updated on current and forthcoming FCA regulations, especially regarding Financial Crime and compliance policies. Showing that you are proactive about regulatory changes can set you apart from other candidates.
✨Tip Number 4
Demonstrate your teamwork and leadership skills during the interview process. Be prepared to share examples of how you've successfully collaborated with others to resolve compliance challenges in previous roles.
We think you need these skills to ace Manager - Compliance (UK)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly within a Host ACD or fund administration environment. Use specific examples that demonstrate your knowledge of UK products and regulatory requirements.
Craft a Strong Cover Letter: In your cover letter, express your motivation for applying to Carne Group and how your skills align with the role. Mention your experience with compliance advisory services and your ability to work collaboratively across teams.
Highlight Relevant Qualifications: Clearly list any professional qualifications you hold, such as accountancy or law, as well as industry-specific certifications. This will help demonstrate your commitment to the field and your readiness for the role.
Showcase Soft Skills: Emphasize your soft skills in your application, such as effective communication, teamwork, and adaptability. Provide examples of how you've successfully navigated challenges in previous roles to illustrate these competencies.
How to prepare for a job interview at Carne
✨Showcase Your Compliance Knowledge
Make sure to highlight your understanding of UK compliance regulations, especially the FCA Handbook. Be prepared to discuss specific products like UCITS and AIFs, as well as your experience in compliance monitoring.
✨Demonstrate Teamwork and Leadership Skills
Since the role emphasizes teamwork and leading others, share examples of how you've successfully collaborated with teams or led projects in your previous roles. This will show that you can fit into their collaborative culture.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities and adaptability. Think of scenarios where you had to navigate complex compliance issues or adapt to regulatory changes, and be ready to explain your thought process.
✨Express Your Motivation for the Role
Convey your enthusiasm for working in a global environment and your desire to contribute to the asset management industry. Discuss what excites you about the role and how it aligns with your career goals.
