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For Companies At a Glance
- Tasks: Manage compliance frameworks and ensure adherence to financial regulations.
- Company: Join a specialist boutique UK hedge fund with a dynamic work environment.
- Benefits: Enjoy part-time hours, flexible work-life balance, and a supportive team culture.
- Why this job: Make an impact in compliance while developing your skills in a reputable firm.
- Qualifications: Strong knowledge of FCA and SEC regulations; experience in compliance management preferred.
- Other info: Ideal for self-motivated individuals looking to grow in the finance sector.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: Our client is a specialist boutique UK hedge fund, seeking a part time Compliance Manager (to work 3 days a week). The ideal candidate will have SEC exposure.
THE RESPONSIBILITIES:
- Oversee and manage the firm's compliance framework, ensuring adherence to FCA regulations, SEC regulations, and other relevant financial regulations.
- Develop, implement, and maintain compliance policies and procedures in line with industry best practices for both jurisdictions.
- Keep up to date with regulatory developments in both the UK and US, assessing their impact on the firm and implementing necessary changes.
- Conduct regular compliance monitoring and risk assessments to identify and mitigate potential risks.
- Provide support across a variety of compliance initiatives, including Code of Ethics, cybersecurity, electronic communication surveillance, vendor due diligence, and updating and testing compliance procedures.
- Operate the core Compliance program daily, including Personal Account Dealing ("PAD"), Outside Business Interests ("OBI"), Conflicts of Interest ("COi"), Gifts and Entertainment ("G&E").
- Monitor the operations team's daily compliance processes, particularly short and long disclosures.
- Maintain compliance records and registers and prepare reports for senior management.
- Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA, and other international regulatory bodies, in conjunction with other business areas.
- Assist with legal document reviews and contract negotiations.
- Provide compliance training and guidance to staff, ensuring awareness and understanding of regulatory obligations.
EXPERIENCE REQUIRED:
- Strong knowledge of FCA and SEC regulations, with experience managing compliance for firms operating in both jurisdictions.
- Experience with Steeleye would be beneficial.
- Trustworthy, loyal, humble and honest. A self-motivated, go-getter.
- Strong self-motivated work ethic willing to take ownership of work product.
- Strong attention to detail with demonstrated ability to deliver on a timely basis and be highly responsive.
- Effective communicator with track record of problem solving with limited direction.
- Emotional maturity and professionalism.
- Strong academic record.
Compliance Manager (Part Time) employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager (Part Time)
✨Tip Number 1
Familiarise yourself with both FCA and SEC regulations. Understanding the nuances of compliance in both jurisdictions will not only boost your confidence but also demonstrate your commitment to the role during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in hedge funds. Engaging with industry peers can provide valuable insights and may even lead to referrals for the position.
✨Tip Number 3
Stay updated on recent regulatory changes and compliance trends. Being able to discuss current events and their implications on compliance during your conversations will set you apart as a knowledgeable candidate.
✨Tip Number 4
Prepare to showcase your problem-solving skills. Think of specific examples from your past experiences where you successfully navigated compliance challenges, as this will highlight your capability to handle the responsibilities of the role.
We think you need these skills to ace Compliance Manager (Part Time)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience with FCA and SEC regulations. Include specific examples of compliance frameworks you've managed and any relevant certifications or training.
Craft a Compelling Cover Letter: In your cover letter, emphasise your knowledge of compliance policies and procedures. Mention your ability to stay updated with regulatory changes and how you can contribute to the firm's compliance initiatives.
Showcase Relevant Experience: When detailing your work history, focus on roles where you managed compliance in both UK and US jurisdictions. Highlight any experience with compliance monitoring, risk assessments, and regulatory reporting.
Demonstrate Soft Skills: Since the role requires effective communication and problem-solving skills, provide examples in your application that showcase your emotional maturity, professionalism, and ability to work independently.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your Regulatory Knowledge
Make sure to highlight your understanding of FCA and SEC regulations during the interview. Be prepared to discuss how you've applied this knowledge in previous roles, as it will demonstrate your capability to manage compliance effectively.
✨Demonstrate Attention to Detail
Given the nature of compliance work, it's crucial to showcase your attention to detail. Bring examples of how you've successfully managed compliance records or conducted risk assessments, as this will illustrate your ability to deliver accurate and timely results.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think of specific instances where you identified risks or implemented compliance policies, and be ready to explain your thought process and outcomes.
✨Emphasise Your Communication Skills
As a Compliance Manager, you'll need to communicate complex regulatory information clearly. Prepare to discuss how you've trained staff or collaborated with other departments on compliance initiatives, showcasing your ability to convey important information effectively.
