At a Glance
- Tasks: Support compliance functions and oversee regulatory requirements in a dynamic investment management environment.
- Company: Join a leading international infrastructure investment manager with a collaborative culture.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- Other info: Be part of a small, agile team with excellent career development opportunities.
- Why this job: Make a real impact in compliance while gaining valuable experience in the finance sector.
- Qualifications: Mid to senior-level experience in asset management or financial services is essential.
The predicted salary is between 56700 - 69300 £ per year.
THE COMPANY
Our client is a specialist international infrastructure investment manager, focused on investment origination, asset management and fund management.
THE RESPONSIBILITIES
- Provide full support as maternity cover for the Vice President role in the team, with limited supervision required by the Head of Compliance SMF16/17 , supporting the Head with all aspects of the generalist compliance function.
- Provide guidance and day-to-day supervision as required, to the new compliance team member.
- Support Investor Relations on the review and sign off process for fundraising and marketing materials, including UK exempt financial promotions, global professional investor communications, retail communications issued by listed fund clients, responses to due diligence / RFP requests, and growing website / social media content for both the firm and its fund clients.
- Knowledge of FCA returns both on Connect and on Reg Data, for a CPMI/AIFM/MIFID business and ability to make filings supported by the finance team, AIFM finance team and human resources as well as the Head of Compliance.
This includes SMCR and all returns under IFPR and AIFMD including regulatory capital.
Oversee the compliance calendar.
- Work with the finance team and Head of Compliance, on the monitoring of regulatory capital requirements and keeping abreast of IFPR implementation and developments, including remuneration codes and new developments under AIFMD.
- Support the third team member on SMCR administration.
Support the Head of Compliance with her oversight of the SM&CR framework, including liaising with HR, assisting with the Certification process and required annual Fitness & Propriety assessments for Certified Persons and SMFs.
- Review and sign off on Origination Deal Team KYC/Sanctions/PEP collation which is prepared as part of their capital request process and be able to provide bespoke KYC guidance in this area to the business, relating to proposed investment infrastructure projects for the client mandates, client fund co-investing or lending, or KYC on AIF investors.
- Work in conjunction with other team members on day-to-day compliance monitoring support, including personal account dealing review and approval, insider / restricted list maintenance, annual questionnaires, KYC queries and business integrity target company responses and taking the lead on regulatory horizon scanning.
- Provide cover as needed in the team, on monitoring the very limited number of daily LSEG World-Check screening alerts and support the business and finance units on queries relating to sanctions, PEP and adverse media screening. (Training is available).
- Assist in the preparation of quarterly compliance reporting and management information required by the Head of Compliance to present at listed fund client Boards, including monitoring outcomes, regulatory developments and FCA thematic updates.
Provide support to the business areas compiling the EMT /KID for the two listed funds and advise on new FCA regulatory developments in this area of cost disclosures and closed ended listed product.
- Support the MLRO in the drafting content of the annual MLRO Report and quarterly board updates on financial crime and being a direct point of contact for the firm on financial crime matters.
- As part of the compliance team, oversee and support if required, the delivery of induction and ongoing compliance training (primarily online) on topics including anti-financial crime, ABAC, CASS ( no client money) and new regulations as applicable and monitor training records.
- Review and update with guidance from the Head of Compliance, global compliance policies as well as supporting documents, internal guides and other related reports including as part of team responsibilities, the annual update to the Consumer Duty report.
Contribute to new initiatives including AI.
Previous experience of building new websites and branding within a global firm and regulatory considerations helpful to an ongoing project.
- Member of the ICARA review team, providing the required compliance data relating to the IFPR ICARA process as part of the annual review and with the updating of the risk registers, supporting the Head of Compliance who is a member of the Risk & Controls Committee and leads on ICARA filings and reporting.
- Be the compliance liaison with audit and CASS-related audit requests compiling with team members’ annual data, in coordination with Finance and external auditors.
No client money permissions.
Work with the finance team to reflect new mandates within the CASS framework docs – ensuring no client money under CASS regulations is being managed.
EXPERIENCE REQUIRED
- Mid to Senior level generalist experience in Asset management or a comparable financial services background is essential, with infrastructure or private equity very beneficial.
AIFMD background or exposure is helpful.
- Ability to “hit the ground running” and to influence and work collegiately across all levels of a non-hierarchical organization and within a small team, while avoiding unnecessary disruption to existing processes and systems and controls, given this is a maternity cover role.
- Current Knowledge of UK financial promotions essential and exposure to AIFs very useful; EU products- in context of delegation to UK manager, preferable.
Exposure to pre-marketing in the EU via third party EU AIFMs or EU group entities helpful.
Previous experience of reviewing due diligence requests from institutional clients and attending DD meetings is very useful.
- Exposure to global marketing and products including broad awareness of US funds – helpful. Listed Investment company knowledge useful
- Practical experience of Connect/Reg Data and submitting or overseeing submission of FCA returns for an AIFM/MIFID/CPMI firm.
- Exposure to IFPR/AIFM regulatory capital requirements very useful ( finance led)
- For further information please contact Spencer Evans
- #J-18808-Ljbffr
Senior Compliance Associate (Mat cover) in London employer: Compliance Professionals
As a leading wealth management firm in Greater London, we pride ourselves on fostering a collaborative work environment that prioritises compliance excellence and professional growth. Our commitment to employee development is reflected in our comprehensive training programmes and supportive culture, making us an ideal employer for compliance professionals seeking meaningful and rewarding careers in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Associate (Mat cover) in London
✨Join Compliance Communities
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We think you need these skills to ace Senior Compliance Associate (Mat cover) in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
