At a Glance
- Tasks: Guide compliance for new business opportunities and oversee regulatory requirements.
- Company: Global investment management firm with a strong compliance culture.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunity for career growth and to work with diverse teams.
- Why this job: Join a leading firm and make a real impact in compliance and risk management.
- Qualifications: Experience in compliance, risk, or audit within asset management.
The predicted salary is between 40500 - 49500 £ per year.
THE COMPANY
Our client is a global investment management business, seeking a Compliance Manager to join the London team on a 12-month FTC basis.
THE RESPONSIBILITIES
- Assist and advise the business when assessing new business opportunities in respect to Compliance matters
- Work with the Distribution and Marketing team and provide timely, efficient, and practical regulatory advice and guidance in respect to the product offering.
- Responsible for the oversight of the regulatory requirements relating to Anti-Money Laundering, Anti-Fraud, Anti-Bribery, and broader KYC requirements, to provide timely and accurate MI and related reports to the Head of Compliance & Risk
- Work, liaise and build relations with the relevant teams in the Group's head office, having full consideration that a substantial number of the firms' clients will be from outside G10 countries.
- Responsible for ensuring all systems and controls in relation to the above topics are robust and effective.
- Responsible for the development and maintenance and incorporating of all Group standards on AML and related topics.
- Ensuring appropriate training and education is provided on these topics, and where relevant provide in person training sessions to relevant teams.
- Work with the Head of Compliance & Risk in respect of any internal or external audit reports in respect to Anti-Financial crime topics, and the broader Compliance Monitoring programme.
- Manage, update, and consider all Conflicts of Interest that are raised with Compliance.
Develop an annual review process which will accurately record, evidence, and register all the known Conflicts of Interest across the firm.
- Assist, the Head of Compliance & Risk in providing reports and escalation of relevant issues, as required, and prepare relevant communications to senior management.
- Assist in the promotion of a strong culture of compliance across all parts of the business including the updating of internal policies, procedures, and regulatory requirements across.
- Assist and manage (where applicable) with the implementation of regulatory developments, working collaboratively with the business and Head of Compliance & Risk to facilitate appropriate impact assessments, gap analysis, and relevant implementation requirements are executed to a good standard and in a timely manner.
- Develop a firm wide regulatory tracker and research relevant regulatory topics as necessary, which is fits with then relevant size and complexity of the business.
- Maintenance of Compliance Manual and associated policies, procedures, and registers.
- Over time provide strong back up to the Senior Compliance Manager to cover topics such as CASS, SMCR and some of the key front office areas of oversight.
EXPERIENCE REQUIRED
- Asset management experience gained in a Compliance, Risk or Audit function
- Good level of knowledge surrounding AML / KYC and client classifications
- Good understanding of the UK Financial Promotions regime
- Understanding of Code of Ethics (PA Dealing, G&E, etc) and be prepared to do this work
- Experience of conducting Compliance Monitoring in line with standard industry Compliance Monitoring programmes
- Any experience of Portfolio Compliance (particularly the use of Thinkfolio)
- Knowledge of SMCR
- For further information please contact Spencer Evans
- #J-18808-Ljbffr
Compliance Manager (12m FTC) employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager (12m FTC)
✨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 Compliance Professionals 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 Compliance Professionals!
We think you need these skills to ace Compliance Manager (12m FTC)
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like Compliance Manager (12m 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 Compliance Professionals. 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 Compliance Professionals
✨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 Compliance Professionals.
✨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 Compliance Professionals 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 Compliance Professionals.
