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For Companies At a Glance
- Tasks: Join a dynamic team to advise on compliance and risk management in investment management.
- Company: Be part of one of the UK's largest asset managers with ambitious growth plans.
- Benefits: Enjoy a varied role with exposure to senior stakeholders and exciting new projects.
- Why this job: This role offers a chance to make a real impact in a fast-paced, collaborative environment.
- Qualifications: Experience in compliance within investment management is essential; strong communication skills are a must.
- Other info: Opportunity to engage in strategic initiatives and develop your career in a supportive setting.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
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; 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.
Risk & Compliance Specialist - Investment Management employer: Davies Talent Solutions
Contact Detail:
Davies Talent Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Risk & Compliance Specialist - Investment Management
✨Tip Number 1
Network with professionals in the investment management sector. Attend industry events, webinars, or local meetups to connect with individuals who work in compliance roles. This can help you gain insights into the company culture and potentially get a referral.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends in the investment management industry. Subscribe to relevant newsletters or follow thought leaders on social media to demonstrate your knowledge during interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance measures or improved processes in previous roles. Use the STAR method (Situation, Task, Action, Result) to structure your responses effectively.
✨Tip Number 4
Research the company’s recent initiatives and strategic goals. Tailor your conversations to show how your skills and experiences align with their ambitions, particularly in relation to risk management and compliance.
We think you need these skills to ace Risk & Compliance Specialist - Investment Management
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 understanding of 2LoD compliance monitoring techniques and regulatory requirements.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss how your skills align with the responsibilities outlined in the job description, such as advising on control improvements and supporting compliance plans.
Highlight Key Skills: Emphasise your excellent communication skills and ability to influence stakeholders. Provide examples of past experiences where you successfully facilitated discussions or negotiated outcomes in a compliance context.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Davies Talent Solutions
✨Showcase Your Compliance Knowledge
Make sure to brush up on your understanding of compliance regulations specific to the investment management sector. Be prepared to discuss your previous experiences and how they relate to the role, especially in areas like 2LoD compliance monitoring techniques.
✨Demonstrate Strong Communication Skills
Since the role involves liaising with various stakeholders, practice articulating your thoughts clearly and confidently. Prepare examples of how you've influenced or negotiated in past roles, as this will highlight your ability to communicate effectively.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past situations where you identified errors or breaches and how you resolved them, as well as any trend analysis you conducted.
✨Engage with the Company's Strategic Goals
Research the company's ambitions, particularly their goal to double AUM. Be ready to discuss how your role as a Risk & Compliance Specialist can support these strategic objectives, showing that you're aligned with their vision.
