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- Tasks: Lead compliance initiatives and ensure adherence to regulations in a dynamic investment management environment.
- Company: Join a prominent British investment manager located in the vibrant West End.
- Benefits: Enjoy a competitive salary, professional development opportunities, and a collaborative work culture.
- Why this job: Make a real impact by shaping compliance strategies and working with top-tier professionals.
- Qualifications: 10+ years in finance, ideally in compliance, with strong knowledge of FCA and SEC regulations.
- Other info: This is a 6-month fixed-term contract with potential for future opportunities.
The predicted salary is between 60000 - 84000 £ per year.
THE COMPANY: Our client is a large British investment manager based in the West End. They are looking for a Senior Compliance Manager to proactively support the execution of the Compliance Plan and Compliance Monitoring Programme.
THE RESPONSIBILITIES:
- Assisting or managing the delivery of Periodic Reports for Group and UK regulated entity boards, Risk and Compliance Committee (“RCC”) and Fund Boards as required;
- Assisting or managing the delivery of Group and UK regulated entity compliance policies and procedures and risk-based compliance monitoring programme;
- Assisting or managing the delivery of Group and UK regulated entity risk-based Anti-Money Laundering and Anti-Bribery & Corruption policies and procedures;
- Development and roll out of training and knowhow relating to regulatory compliance matters pertinent to the Firm and its funds/clients;
- Monitoring UK and US regulatory horizon including relevant publications to ensure timely and relevant advice to the business to enable it to remain in compliance with applicable rules and regulations;
- Oversight of jurisdictions where the UK regulated entities operate or products are registered or distributed to ensure that relevant obligations are met (e.g. investment advisor registration with the US SEC);
- Timely and accurate drafting of responses, submission of filings, reports and returns to regulators, clients and the UK regulated entities material external service providers;
- Involvement in new business developments, specifically compliance related issues and requirements.
EXPERIENCE REQUIRED:
- A minimum of 10 years’ experience in the finance industry, ideally investment management and in a compliance function.
- Performed at management level.
- Detailed knowledge of the rules and requirements of the FCA and other relevant regulators such as the SEC, and the regulatory environment in which the UK regulated entities and Group operates.
- Ability to manage and prioritise multiple tasks.
- Ability to communicate at all levels of the organisation, including board level.
- Highly analytical, with significant attention to detail.
For further information please contact Spencer Evans.
Senior Compliance Manager (6 month FTC) employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager (6 month FTC)
✨Tip Number 1
Network with professionals in the compliance and finance sectors. Attend industry events or webinars where you can meet people who work in similar roles. This can help you gain insights into the company culture and possibly get a referral.
✨Tip Number 2
Stay updated on the latest regulatory changes affecting the finance industry, particularly those related to the FCA and SEC. Being knowledgeable about current compliance issues will demonstrate your commitment and expertise during interviews.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your ability to manage compliance tasks effectively. Highlight instances where you successfully navigated complex regulatory environments or implemented compliance training.
✨Tip Number 4
Research the company’s recent compliance initiatives or challenges they may have faced. Tailoring your conversation to show how your skills can directly address their needs will make you stand out as a candidate.
We think you need these skills to ace Senior Compliance Manager (6 month FTC)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly within the finance industry. Emphasise your management-level experience and specific knowledge of FCA and SEC regulations.
Craft a Strong Cover Letter: In your cover letter, address how your skills align with the responsibilities outlined in the job description. Mention your experience with compliance monitoring programmes and your ability to communicate effectively at all levels.
Showcase Analytical Skills: Provide examples in your application that demonstrate your analytical abilities and attention to detail. This could include specific projects or tasks where you successfully managed compliance-related issues.
Highlight Training Experience: If you have experience developing and delivering training on regulatory compliance, make sure to include this in your application. It shows your proactive approach to compliance and your ability to educate others.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you have a solid understanding of the FCA and SEC regulations. Brush up on the latest compliance requirements and be ready to discuss how they impact the business. This will show your expertise and readiness for the role.
✨Demonstrate Leadership Skills
As a Senior Compliance Manager, you'll need to showcase your management experience. Prepare examples of how you've led teams or projects in the past, particularly in compliance-related areas. Highlight your ability to communicate effectively at all levels, especially with board members.
✨Be Detail-Oriented
Given the nature of compliance work, attention to detail is crucial. During the interview, provide specific instances where your analytical skills helped identify issues or improve processes. This will illustrate your capability to handle the responsibilities of the role.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about potential challenges you might face in this role and how you would address them. This preparation will demonstrate your proactive approach to compliance management.
