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- Tasks: Lead compliance monitoring and provide expert advice on asset management regulations.
- Company: Join a global investment manager with a strong reputation in the finance sector.
- Benefits: Enjoy hybrid working, competitive salary, bonuses, and additional perks.
- Why this job: Be part of a dynamic team ensuring regulatory compliance and making a real impact.
- Qualifications: 7+ years in investment management with a solid grasp of UK regulatory requirements.
- Other info: Opportunity to work closely with senior management and influence company policies.
The predicted salary is between 57000 - 95000 £ per year.
Lutine Bell are currently supporting a Global Investment Manager looking to appoint a Senior Compliance Officer, reporting directly into the Head of Compliance.
Responsibilities:
- Conduct the Compliance Monitoring programme covering the Firm’s regulated business.
- Provide sound advice proactively on asset management compliance matters as prioritized by the CCO.
- Ensure the prompt and accurate completion of daily and ad-hoc regulatory returns and reports including, Major Shareholders, SSR and Takeover Panel.
- Oversight of Transaction Reporting controls.
- Support the Money Laundering Reporting Function, including training for employees, appropriate provision of information to senior management, appropriate measures to ensure the effective control of risk within the firm’s day-to-day operations, including the new clients on-boarding and changes to the firm’s business profile.
- Escalate any material compliance/regulatory concerns or issues to the CCO as required.
- Assist the CCO in the delivery of timely and effective reports to the Committees & Board in respect of that oversight.
- Maintain the firms Compliance Policy & Procedures.
Requirements:
- At least 7 years relevant experience in the Investment Management industry or similar function.
- Solid appreciation of regulatory UK reporting requirements (i.e. Major Shareholding, SSR & Takeover Panel).
- Strong UK regulatory background on market abuse and trading activities.
Location: London (hybrid working)
Salary: up to £95,000 (plus bonus & benefits)
Senior Compliance Officer employer: Lutine Bell
Contact Detail:
Lutine Bell Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Network with professionals in the investment management sector, especially those who have experience in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the specific regulatory requirements mentioned in the job description, such as Major Shareholding, SSR, and Takeover Panel regulations. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Consider reaching out to current or former employees of the company to gain insights into their compliance culture and expectations. This can provide you with valuable information that can be used to tailor your approach during the interview process.
✨Tip Number 4
Prepare to discuss real-life scenarios where you've successfully navigated compliance challenges in your previous roles. Highlighting your problem-solving skills and ability to manage risk effectively will make you a strong candidate for the Senior Compliance Officer position.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly within the investment management sector. Emphasise your understanding of UK regulatory requirements and any specific achievements related to compliance monitoring.
Craft a Compelling Cover Letter: In your cover letter, address how your background aligns with the responsibilities outlined in the job description. Mention your proactive approach to compliance matters and your experience in training employees on compliance issues.
Showcase Relevant Skills: Highlight key skills such as risk management, regulatory reporting, and your ability to escalate compliance concerns effectively. Use specific examples from your past roles to demonstrate these skills.
Proofread Your Application: Before submitting, carefully proofread your application for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Lutine Bell
✨Know Your Regulations
Make sure you have a solid understanding of UK regulatory requirements, especially those related to Major Shareholding, SSR, and the Takeover Panel. Be prepared to discuss how these regulations impact the firm's operations and compliance strategies.
✨Demonstrate Your Experience
With at least 7 years in the investment management industry, be ready to share specific examples of your past compliance work. Highlight any challenges you've faced and how you overcame them, particularly in relation to compliance monitoring and reporting.
✨Showcase Your Advisory Skills
As a Senior Compliance Officer, you'll need to provide sound advice on compliance matters. Prepare to discuss scenarios where you've successfully advised on compliance issues and how your guidance benefited the firm.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about potential compliance issues that could arise and how you would handle them, especially regarding money laundering and risk control.
