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For Companies At a Glance
- Tasks: Join a dynamic team to ensure compliance in a fast-paced investment environment.
- Company: Be part of a rapidly growing asset management firm with £50 billion AUM.
- Benefits: Enjoy a collaborative culture, potential for growth, and the chance to shape compliance strategies.
- Why this job: Make a real impact in compliance while working on exciting projects and regulatory challenges.
- Qualifications: 5+ years in finance, knowledge of AIFMD, MiFID II, and a proactive attitude are essential.
- Other info: This role is based in London and offers opportunities for professional development.
The predicted salary is between 43200 - 72000 £ per year.
I have an exciting opportunity for an experienced Funds compliance officer at a fast growing investment/asset management company currently they have an AUM of around 50 billion pounds. They have a mix of funds including AIFMD funds. This would be a generalist compliance role and will be instrumental in advising the business in day-to-day activities as well as long-term strategic vision. This role would report directly into the GC and is part of a small compliance team. They are an ambitious company that are expecting to grow significantly over the next 12/18 months. The role is based in London (the city) and they are looking for someone that is a team player, proactive and able/have experience of working with and advising the business on Compliance/regulatory matters.
Responsibilities
- Compliance Monitoring Programme: Devise, undertake, and report on the compliance testing programme.
- Compliance Manual and Policies: Maintain the Compliance Manual and compliance related policies.
- Regulatory risk management.
- Compliance and Regulatory reporting.
- Regulatory developments: Capture any changes in the regulatory environment relevant to the firm. Act as the internal subject matter expert and operational first point of contact for any larger regulatory projects.
- Anti-Money Laundering (AML) and Financial Crime: Take operational responsibility for the maintenance and delivery of AML and financial crime regime.
- Market Abuse: Training and advice.
- Marketing: Review and sign off all external communication documentation and financial promotions to ensure they are fair, clear and not misleading.
- Product Launch: To be involved in product launch projects to ensure all regulatory requirements are taken into consideration regarding the launch of the new funds, and that all regulatory documentation is sent to the FCA within the required time limits.
- Assist the Chief Legal & Compliance Officer and Senior Investment Compliance Officer.
Required experience and Knowledge
- Ideally CISI Diploma in Investment Compliance or equivalent (or working towards), with demonstrable compliance skills and regulatory knowledge.
- Detailed, working knowledge of relevant regulatory requirements, in particular subject expertise on the following regulations: AIFMD, MiFID II, SMCR, and obligations set out in the FCA Handbook as they apply to the firm.
- A proactive, self-motivated team player who can work independently with minimal supervision, manage a high personal workload with multiple deadlines and continually strive for improvements in quality, efficiency and presentation.
- At least 5 years financial sector work experience, preferably with exposure to oversight within a FCA regulated entity.
- Knowledge of a variety of asset classes, including more illiquid types such as infrastructure and real estate.
- Knowledge of the major types of derivatives and their use.
- Knowledge of different fund structures, including hedge funds.
Investment Compliance officer employer: Jameson Legal.
Contact Detail:
Jameson Legal. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Compliance officer
✨Tip Number 1
Network with professionals in the investment compliance field. Attend industry events, webinars, or local meetups to connect with people who work in similar 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 relevant to the investment sector, especially AIFMD, MiFID II, and SMCR. Being knowledgeable about current regulations will not only prepare you for interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues in previous roles. Highlight your experience with compliance monitoring programmes and regulatory reporting to show that you can handle the responsibilities of this position.
✨Tip Number 4
Research the company’s recent developments and growth plans. Understanding their strategic vision will allow you to tailor your discussions during interviews, showing that you are aligned with their goals and ready to contribute to their success.
We think you need these skills to ace Investment Compliance officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and regulatory matters, particularly focusing on AIFMD, MiFID II, and SMCR. Use specific examples from your past roles to demonstrate your expertise.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your proactive approach and team player mentality align with their ambitious growth plans. Be sure to include your understanding of the compliance landscape.
Highlight Relevant Qualifications: If you have a CISI Diploma in Investment Compliance or equivalent qualifications, make them prominent in your application. This will show that you have the necessary knowledge and commitment to the field.
Showcase Your Regulatory Knowledge: Demonstrate your detailed knowledge of regulatory requirements by mentioning specific regulations you have worked with. Discuss any experience you have with compliance monitoring programmes and regulatory reporting to illustrate your capabilities.
How to prepare for a job interview at Jameson Legal.
✨Know Your Regulations
Make sure you have a solid understanding of the key regulations mentioned in the job description, such as AIFMD, MiFID II, and SMCR. Be prepared to discuss how these regulations impact compliance practices and share examples from your past experience.
✨Showcase Your Proactivity
This role requires a proactive approach to compliance. Think of specific instances where you've taken the initiative to improve compliance processes or address regulatory challenges. Highlighting your ability to work independently will impress the interviewers.
✨Demonstrate Team Spirit
As a team player, it's important to convey your collaborative skills. Prepare examples of how you've successfully worked within a team to achieve compliance goals or navigate complex regulatory issues. This will show that you can contribute positively to their small compliance team.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Practice articulating your thought process on how you would handle specific compliance challenges, such as regulatory changes or AML issues, to demonstrate your expertise.
