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- Tasks: Join a dynamic team advising 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 environment.
- Qualifications: Experience in compliance within investment management is essential; strong communication skills required.
- Other info: Opportunity to engage in strategic initiatives and develop your career in a supportive setting.
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; 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
Familiarise yourself with the latest regulatory requirements and compliance monitoring techniques specific to investment management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly evolving field.
✨Tip Number 2
Network with professionals in the investment management sector, especially those working in compliance roles. Attend industry events or join relevant online forums to build connections that could lead to valuable insights or referrals for the position.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully advised on control improvements or managed compliance issues in previous roles. Being able to articulate your experience clearly will set you apart from other candidates.
✨Tip Number 4
Research the company’s strategic ambitions and recent developments in their compliance practices. Tailoring your conversation to align with their goals during interviews can show that you're genuinely interested in contributing to their success.
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 within the investment 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. Mention how your skills align with their ambitions to double AUM and your experience in advising on control improvement actions.
Highlight Key Skills: Emphasise your excellent communication skills and ability to influence stakeholders. Provide examples of how you've successfully facilitated change initiatives or resolved compliance issues in previous roles.
Showcase Relevant Achievements: Include specific achievements related to risk measurement checks or compliance consultancy. Quantify your successes where possible, such as improvements in compliance metrics or successful project completions.
How to prepare for a job interview at Davies Talent Solutions
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the regulatory requirements specific to the investment management sector. Brush up on 2LoD compliance monitoring techniques and be ready to discuss how you've applied these in your previous roles.
✨Demonstrate Your Advisory Skills
Prepare examples of how you've advised business areas on control improvements. Highlight your ability to influence and negotiate with stakeholders, as this will be crucial in the role.
✨Showcase Your Analytical Abilities
Be ready to discuss your experience with risk measurement checks and how you've handled error identification and resolution. Use specific examples to illustrate your analytical skills and attention to detail.
✨Engage with the Company's Ambitions
Research the company's strategic goals, especially their ambition to double AUM. Be prepared to discuss how your role as a Risk & Compliance Specialist can support these objectives and contribute to new propositions.
