At a Glance
- Tasks: Provide expert compliance advice and support to ensure regulatory adherence.
- Company: Join one of the UK's largest asset management firms in a dynamic environment.
- Benefits: Enjoy a competitive salary, hybrid working, and an excellent benefits package.
- Other info: Opportunity for career growth and to build relationships with key stakeholders.
- Why this job: Make a real impact by guiding compliance in a leading financial firm.
- Qualifications: Experience in regulatory compliance within investment management is essential.
The predicted salary is between 60000 - 72000 £ per year.
MERJE are thrilled to be partnering with one of the UK's largest asset management firms as they look to expand their Advisory capability with the addition of a Compliance Manager to report to and support the Head of Compliance & MLRO.
Located in central Leeds, the firm offer a hybrid working policy alongside an excellent benefits package and very competitive base salary.
Purpose of the role
The Compliance Manager (Advisory) provides appropriate challenge to the business and senior leadership in respect of regulatory risks, and compliance with designated regulation and/or legislation, as well as overseeing that associated policies, procedures and controls are in place and operated.
The role holder provides expert advice on regulations and regulatory change, in support of our business operations and strategic initiatives.
The manager more generally supports the Head of Compliance and MLRO, in ensuring that effective compliance oversight is planned, performed and reported, and for providing associated ongoing guidance and support to the business.
Responsibilities
- Provide practical compliance advisory support to the business across FCA regulatory requirements, including COBS, SYSC, COLL, FUND, AIFMD and CASS.
- Act as a trusted adviser to the first line, delivering timely and commercially focused regulatory guidance on business activities and change initiatives.
- Support regulatory input into new products, fund launches, strategic initiatives and business change programmes, ensuring regulatory risks are identified and managed throughout the project lifecycle.
- Monitor and interpret UK regulatory developments, assessing business impact and communicating regulatory changes to key stakeholders.
- Advise on regulatory requirements relating to investment management activities, governance and operational processes.
- Prepare high-quality compliance reports and papers for senior management, governance forums and Board committees.
- Design and deliver compliance training to promote regulatory awareness and strengthen the firm's compliance culture.
- Build and maintain positive relationships with regulators, auditors, depositaries and key internal stakeholders.
- Candidate requirements
- Experience providing expert advice on regulatory compliance and conduct matters, within an investment management company, or equivalent.
- Experience of a management role, maintaining/overseeing effective compliance and conduct-related control frameworks at a regulated investment manager/asset owner, or equivalent experience.
- Good awareness of regulatory, conduct, financial crime, and market abuse issues, and how they can impact financial services companies.
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Compliance Manager (Advisory) in Guiseley employer: MERJE Ltd
Join a well-established financial services organisation that prioritises employee growth and development, offering a supportive work culture where your contributions directly impact customer outcomes. As a Compliance Assurance Officer, you'll benefit from flexible home-based working arrangements, competitive remuneration, and the chance to enhance your skills in a dynamic environment focused on regulatory excellence and continuous improvement.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager (Advisory) in Guiseley
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like MERJE Ltd looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager (Advisory) in Guiseley
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at MERJE Ltd. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at MERJE Ltd
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with MERJE Ltd’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
