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- Tasks: Join a dynamic team advising on investment risk and compliance while engaging with senior stakeholders.
- Company: Be part of one of the UK's largest asset managers aiming to double their assets under management.
- Benefits: Enjoy a varied role with opportunities for professional growth and exposure to exciting new propositions.
- Why this job: This role offers a chance to make a real impact in a fast-paced, ambitious environment.
- Qualifications: Experience in compliance within investment management, particularly with UCITS & COLL regulations is essential.
- Other info: Ideal for those looking to develop their career in a supportive and innovative firm.
The predicted salary is between 48000 - 72000 £ per year.
Our client, one of the UK’s largest asset managers with ambitions to double AUM, are looking to appoint an experienced Fund Compliance Specialist in a broad and rewarding role, covering both assurance and advisory activities.
Reporting directly to the Head of Risk & Compliance, the role will also support the firm’s wider strategic ambitions, including through engagement in the development of exciting new propositions. This is an opportunity to join a dynamic and ambitious firm in a varied Compliance role with exposure to senior stakeholders, both internally and externally.
You will:
- Advise business areas on recommended control improvement actions.
- Provide investment risk and compliance consultancy to key stakeholders
- Lead on second line engagement change initiatives.
- Support the Head of Risk and Compliance in the development and delivery of the Compliance Plan.
- Review daily risk measurement checks (e.g. Derivative exposures; fund compliance with VaR limits, VaR back-testing overshoots and Liquidity thresholds)
- Act as the risk and compliance contact for error and breach identification, resolution, trend analysis and escalation.
- Liaise with the Depositary to complete regulatory and best practice obligations.
The ideal candidate will have demonstrable Compliance experience in the investment management sector, particularly in an ACD business, with deep knowledge of UCITS & COLL; Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements, including investment principles, investment types and portfolio liquidity; Excellent communication skills, with an ability to influence, facilitate and negotiate.
Investment Risk & Compliance Specialist employer: Davies Talent Solutions
Contact Detail:
Davies Talent Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Risk & Compliance Specialist
✨Tip Number 1
Network with professionals in the investment management sector, especially those who have experience in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the specific regulatory frameworks relevant to the role, such as UCITS and COLL. Being able to discuss these regulations confidently during interviews will demonstrate your expertise and commitment to the field.
✨Tip Number 3
Prepare to showcase your experience with second line of defence (2LoD) compliance monitoring techniques. Be ready to provide examples of how you've successfully implemented these techniques in previous roles, as this will be crucial for the position.
✨Tip Number 4
Highlight your communication skills by preparing to discuss how you've influenced stakeholders in past roles. Think of specific instances where your ability to negotiate and facilitate discussions led to successful outcomes in compliance matters.
We think you need these skills to ace Investment Risk & Compliance Specialist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and risk management, particularly within the investment management sector. Use specific examples that demonstrate your knowledge of UCITS & COLL and your ability to advise on control improvements.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss how your background aligns with their ambitions to double AUM and your experience in providing consultancy to key stakeholders. Be sure to mention your strong communication skills and ability to influence.
Highlight Relevant Skills: Emphasise your understanding of second line of defence (2LoD) compliance monitoring techniques and regulatory requirements. Mention any specific tools or methodologies you have used in previous roles to support compliance and risk management.
Proofread Your Application: Before submitting, carefully proofread your application materials for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Davies Talent Solutions
✨Know Your Compliance Regulations
Familiarise yourself with UCITS and COLL regulations, as well as the latest compliance monitoring techniques. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Demonstrate Your Advisory Skills
Prepare examples of how you've advised business areas on control improvements in the past. Highlight your ability to influence and negotiate effectively with stakeholders.
✨Showcase Your Analytical Abilities
Be ready to discuss your experience with risk measurement checks and how you've handled error identification and resolution. This will demonstrate your analytical skills and attention to detail.
✨Engage with the Company’s Ambitions
Research the firm’s strategic goals and be prepared to discuss how you can contribute to their ambitions of doubling AUM. Showing alignment with their vision will make you a more attractive candidate.
