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- Tasks: Lead compliance for a global asset manager, ensuring regulatory adherence across multiple jurisdictions.
- Company: Join a rapidly growing boutique asset manager with a strong focus on innovative financial products.
- Benefits: Enjoy a competitive salary of £120K plus bonuses and benefits, with opportunities for professional growth.
- Why this job: Be part of a dynamic team, influencing compliance strategy in a visible role within a successful firm.
- Qualifications: Must have a degree and at least eight years of asset management compliance experience.
- Other info: This role offers a chance to work closely with senior management and shape compliance practices.
The predicted salary is between 84000 - 168000 £ per year.
We have been exclusively retained by our Client, a Global Asset Manager, looking to hire a Head of Compliance who will be the UK SMF16 and SMF17 for their newly Authorised UK business. Reporting to the CEO and Board, duties will include:
- Oversight of regulatory compliance across multiple jurisdictions, including the UK, Jersey, Dubai, Cayman Islands and BVI.
- Advising the senior management team on all Compliance, Risk and AML obligations and requirements, ensuring they are kept up to speed with all new and upcoming regulatory changes.
- Overseeing the compliance programme and reviewing, writing and implementing policies & procedures as required.
- Assessing the risk framework for all clients & funds managed/advised.
- Conducting periodic testing in accordance with compliance monitoring programme.
- Assisting in preparation of risk and compliance-related supporting documentation and materials for all relevant Board meetings.
The successful candidate will be degree educated and must have gained a minimum of eight years asset management compliance experience, with a good knowledge of the relevant UK rules and regulations applicable to UK Asset Management business (including AIFMD & MiFID II). Any experience of overseas requirements is useful but more important is a “sleeves rolled up approach”, willing to learn new material, take responsibility and getting involved in the detail of compliance issues.
This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a hugely successful global asset manager in a very visible and influential role. The business is seeing significant growth and is well placed because of its product focus to continue to grow.
If you feel you have the above average interpersonal skills and technical knowledge to help the business, please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com (including a contact number & email). However, please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
Exclusive: Head of Compliance Boutique Asset Manager – Asset Management Experience (inc AIFMD &[...] employer: Jobs via eFinancialCareers
Contact Detail:
Jobs via eFinancialCareers Recruiting Team
gary@symescollins.com
StudySmarter Expert Advice 🤫
We think this is how you could land Exclusive: Head of Compliance Boutique Asset Manager – Asset Management Experience (inc AIFMD &[...]
✨Tip Number 1
Network with professionals in the asset management and compliance sectors. Attend industry events, webinars, or local meetups to connect with individuals who may have insights into the role or the company. Building relationships can often lead to referrals or insider information that could give you an edge.
✨Tip Number 2
Stay updated on the latest regulatory changes related to AIFMD and MiFID II. Subscribe to relevant newsletters or follow industry leaders on social media to ensure you're well-informed. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare for potential interview questions by reviewing common compliance scenarios and how you would handle them. Think about your past experiences and be ready to discuss specific examples where you've successfully navigated compliance challenges.
✨Tip Number 4
Research the company thoroughly, including its culture, values, and recent developments. Understanding their business model and how compliance fits into their strategy will allow you to tailor your discussions and show that you're genuinely interested in contributing to their success.
We think you need these skills to ace Exclusive: Head of Compliance Boutique Asset Manager – Asset Management Experience (inc AIFMD &[...]
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Head of Compliance position. Familiarise yourself with AIFMD and MiFID II regulations, as well as the specific compliance needs of asset management.
Tailor Your CV: Highlight your relevant experience in asset management compliance, particularly your knowledge of UK regulations. Use specific examples to demonstrate your expertise and how it aligns with the job description.
Craft a Compelling Cover Letter: Write a cover letter that showcases your interpersonal skills and your proactive approach to compliance. Mention your willingness to learn and adapt, as well as your ability to communicate complex regulatory issues to senior management.
Follow Up: After submitting your application through our website, consider following up with a polite email to express your continued interest in the role. This can help keep your application top of mind for the hiring team.
How to prepare for a job interview at Jobs via eFinancialCareers
✨Know Your Regulations
Make sure you have a solid understanding of AIFMD and MiFID II, as well as other relevant UK regulations. Be prepared to discuss how these regulations impact compliance in asset management and provide examples from your past experience.
✨Demonstrate Leadership Skills
As the Head of Compliance, you'll be expected to lead and advise senior management. Prepare to showcase your leadership style and how you've successfully influenced compliance culture in previous roles.
✨Showcase Your Problem-Solving Abilities
Be ready to discuss specific compliance challenges you've faced and how you resolved them. Highlight your 'sleeves rolled up' approach and willingness to dive into the details of compliance issues.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your decision-making skills in compliance situations. Think about potential regulatory changes and how you would advise the management team to adapt their strategies accordingly.
