At a Glance
- Tasks: Be the go-to expert for compliance in exciting credit negotiations and trading.
- Company: Join a leading global investment management firm with a dynamic culture.
- Benefits: Enjoy competitive pay, health perks, and opportunities for professional growth.
- Other info: Collaborate with top professionals and enhance your career in a supportive environment.
- Why this job: Make a real impact in the fast-paced world of private credit and compliance.
- Qualifications: 4-5 years in compliance with a solid grasp of credit markets and regulations.
The predicted salary is between 60000 - 80000 € per year.
Our client is a global investment management firm headquartered in Europe. Some of their specialisms include secured loans, structured and private credit.
Responsibilities
- Serve as the central gatekeeper for all wall crossing events and maintenance of the Firm’s Restricted List arising from:
- Private credit negotiations
- Lender presentations and information agent calls
- Bilateral discussions with sponsors or management teams
- Restructuring and workout processes
- Participation in ad hoc or formal creditor groups
- Implement robust controls around MNPI obtained through:
- NDAs required for credit negotiations
- Confidential IMs and data rooms
- Steering committees and creditor committee participation
- Ensure firm policies are complied with in respect of relevant trading restrictions and cleansing.
- Ability to identify issuer/borrower price sensitive credit events and advise the Structured Credit division on determination as to whether any specific CLO which has exposure to that piece of information also requires to be restricted from trading.
- Assist in training investment staff on safeguarding sensitive issuer information, handling of restricted information, and avoiding inadvertent selective disclosure risk.
- Assist in completing the Firm’s Market Abuse Risk Assessment and maintenance of the Firm’s Market Abuse Policy.
- Assisting in additional Compliance activities such as general policy maintenance, review and sign off of financial promotions.
- Proactively contribute to the firm’s market abuse surveillance programme across the relevant strategies with an emphasis on:
- Trading around earnings, covenant breaches, restructuring events, refinancing negotiations, or capital raises
- Analysis of price sensitive credit events (e.g., downgrades, liquidity stress, default indicators)
- Interactions with advisers, banks, sponsors, and restructuring professionals
- Assist in ensuring surveillance scenarios are appropriately calibrated for less liquid instruments and event driven credit behaviours, rather than equity style trading signals.
- Conduct investigations into potential market conduct breaches, including misuse of MNPI, selective disclosure, or improper trading in restricted names.
- Track regulatory changes (MAR, FCA, SEC, etc.) relating to credit markets, private lending, and issuer interactions and implement updates into the compliance framework.
Compliance Advisory & Business Partnering
- Provide real time advisory support to portfolio managers and credit analysts on market conduct, conflicts, MNPI handling, and trading restrictions in illiquid credit markets.
- Review deal pipelines and transaction structures for:
- MNPI risk
- Conflicts of interest across private side and public side teams
- Appropriateness of NDAs and confidentiality terms
- Ensure internal policies and procedures are kept up to date.
Experience Required
- Circa 4-5 years of compliance experience within a sub investment grade credit hedge fund, asset manager, investment bank leveraged finance team, or private credit platform.
- Understanding of sub investment grade credit.
- Good understanding of insider trading and market abuse frameworks (MAR, FCA, SEC).
- Good knowledge of general FCA, SEC and EU regulations (AIFMD, EMIR & SFTR).
- Willingness to partner with investment teams in fast moving, negotiation driven credit processes.
Senior Compliance Associate employer: Compliance Professionals
As a leading global investment management firm, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our London office offers a collaborative environment where compliance professionals can thrive, supported by comprehensive training programmes and opportunities to engage with industry experts. Join us to be part of a forward-thinking team that values integrity and innovation in the fast-paced world of private credit.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Associate
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars where you can meet potential employers and showcase your expertise in compliance and market conduct.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of insider trading and market abuse frameworks. Be ready to discuss how your experience aligns with the responsibilities of a Senior Compliance Associate, especially around MNPI handling and compliance advisory.
✨Tip Number 3
Showcase your problem-solving skills! During interviews, share specific examples of how you've navigated complex compliance issues or contributed to market abuse surveillance programmes. This will demonstrate your proactive approach and ability to handle sensitive information.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are genuinely interested in joining our team and contributing to our compliance efforts.
We think you need these skills to ace Senior Compliance Associate
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Compliance Associate role. Highlight your compliance experience, especially in sub-investment grade credit, and any relevant regulations you’re familiar with. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter:Your cover letter should tell us why you're the perfect fit for this role. Share specific examples of your experience with MNPI handling and market conduct. We love seeing your personality shine through, so don’t hold back!
Showcase Your Knowledge:In your application, demonstrate your understanding of insider trading and market abuse frameworks. Mention any relevant regulatory changes you've tracked or implemented. This shows us you’re proactive and knowledgeable about the industry!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts!
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of insider trading and market abuse frameworks like MAR, FCA, and SEC regulations. Being able to discuss these topics confidently will show that you're not just familiar with the theory but can apply it in real-world scenarios.
✨Demonstrate Your Analytical Skills
Prepare to discuss how you've handled price-sensitive credit events in the past. Think about specific examples where you identified risks or advised on trading restrictions. This will help illustrate your analytical capabilities and your understanding of sub-investment grade credit.
✨Show Your Team Spirit
This role involves a lot of collaboration with investment teams. Be ready to share examples of how you've partnered with others in fast-paced environments. Highlight your ability to provide real-time advisory support and how you’ve navigated conflicts of interest in previous roles.
✨Stay Updated on Regulatory Changes
Familiarise yourself with recent regulatory changes affecting credit markets and private lending. Being able to discuss how these changes impact compliance frameworks will demonstrate your proactive approach and commitment to staying informed in this ever-evolving field.
