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- Tasks: Lead compliance monitoring and provide regulatory guidance to ensure business adherence.
- Company: Join a top-tier Fund Manager known for its commitment to compliance excellence.
- Benefits: Enjoy a competitive salary, bonuses, and hybrid working options for better work-life balance.
- Why this job: Be part of a dynamic team shaping the future of financial services with impactful compliance strategies.
- Qualifications: 8+ years in Compliance within Investment Management; strong stakeholder management skills required.
- Other info: Opportunity to influence policy and procedure while developing training for the team.
The predicted salary is between 75000 - 125000 £ per year.
Lutine Bell are currently supporting a leading Fund Manager looking to appoint a Senior Compliance Manager. This is a generalist role reporting directly into the Head of Compliance.
Responsibilities:
- Providing assurance with respect to compliance monitoring related matters through regular reporting to the Audit & Risk Committee and other relevant Committees.
- Provide proactive guidance and advice to the business on current and forthcoming UK financial services regulation.
- Give regulatory guidance and advice on internal projects.
- Answer day-to-day queries from the business.
- Ensure that the team identifies, assesses and reports on applicable UK regulatory developments affecting the business.
- Advise business areas on policy and procedure content.
- Maintain and update Compliance policies.
- Assist in the design and provision of Compliance training to relevant business areas.
Requirements:
- Minimum 8 years Compliance experience in Investment Management.
- Exposure to multiple internal and external relationships in order to support and manage a range of stakeholders.
- MIFIDPRU
- MIFID II
- Trade and Transaction reporting
- EMIR Refit
- SFTR
- ESG (TCFD reporting)
- Consumer Duty
- Financial Crime
- Regulatory change
Salary: up to £125,000 (plus competitive bonus & benefits)
Location: London (hybrid working)
Compliance Manager/Senior Manager employer: Lutine Bell
Contact Detail:
Lutine Bell Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager/Senior Manager
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in investment management. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and regulations.
✨Tip Number 2
Stay updated on UK financial services regulations, particularly MIFID II, EMIR Refit, and ESG reporting. Demonstrating your knowledge of these areas during conversations can set you apart from other candidates.
✨Tip Number 3
Prepare to discuss your experience in managing stakeholder relationships. Be ready to provide examples of how you've successfully navigated complex compliance issues while maintaining strong connections with various business areas.
✨Tip Number 4
Consider brushing up on your training skills, as the role involves designing and providing compliance training. Highlight any previous experience in this area to show that you're well-equipped to handle this responsibility.
We think you need these skills to ace Compliance Manager/Senior Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly in investment management. Emphasise your familiarity with regulations like MIFID II, EMIR Refit, and ESG reporting.
Craft a Strong Cover Letter: In your cover letter, demonstrate your understanding of the role and how your background aligns with the responsibilities listed. Mention specific examples of how you've provided regulatory guidance or managed compliance projects.
Showcase Stakeholder Management Skills: Since the role requires managing multiple internal and external relationships, include examples in your application that showcase your ability to communicate effectively with various stakeholders.
Highlight Continuous Learning: Given the ever-evolving nature of financial regulations, mention any recent training or certifications you have completed. This shows your commitment to staying updated on compliance matters.
How to prepare for a job interview at Lutine Bell
✨Know Your Regulations
Make sure you have a solid understanding of the key regulations mentioned in the job description, such as MIFID II, EMIR Refit, and ESG reporting. Be prepared to discuss how these regulations impact compliance in investment management.
✨Showcase Your Experience
With a minimum of 8 years in compliance, highlight specific examples from your past roles that demonstrate your ability to manage compliance monitoring and provide regulatory guidance. Use the STAR method (Situation, Task, Action, Result) to structure your responses.
✨Engage with Stakeholders
Since the role involves managing multiple internal and external relationships, be ready to discuss how you've successfully engaged with various stakeholders in previous positions. Share examples of how you’ve navigated complex relationships to achieve compliance objectives.
✨Prepare Questions
At the end of the interview, you'll likely have the chance to ask questions. Prepare thoughtful questions about the company's compliance culture, challenges they face, and how they measure success in this role. This shows your genuine interest and helps you assess if it's the right fit for you.
