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- Tasks: Guide investment teams on compliance with trading regulations and portfolio management.
- Company: IMG is a leading firm in portfolio management across various asset types, including Fixed Income.
- Benefits: Enjoy collaboration with global teams and opportunities for professional growth.
- Why this job: Join a proactive team that values your insights and fosters a culture of trust and collaboration.
- Qualifications: Seven years of experience in investment compliance with strong relationship management skills required.
- Other info: This role involves working closely with international colleagues and contributing to strategic initiatives.
The predicted salary is between 72000 - 108000 £ per year.
IMG is responsible for portfolio management and trading across a number of asset types including Equity, Fixed Income, and FX. Our Fixed Income Team capabilities span both active and index funds, covering the entire fixed income universe from government securities to corporate bonds across developed and emerging markets, including money market funds.
Summary of Role
With an ambition of continued growth across Europe and a core objective of delivering superior outcomes to our customers and clients, an exciting opportunity has arisen for a compliance specialist to join our Investment Management Compliance Advisory team. The successful candidate will support engagement with IMG, providing proactive and pragmatic advice and guidance on governance, regulatory compliance matters relevant to the investment management activities.
This position will report directly into the Head of Investments and Product Compliance and will join a team of expert compliance professionals supporting the European IMG team. The IMG team is London based; collaboration with colleagues in US and Australia offices is essential for the success of the role. The successful candidate will also collaborate and support Compliance colleagues in other teams.
Our second line of defence Compliance Advisory team are trusted advisers and we are pro-active in our understanding of the business functions, their strategic goals and initiatives. You will provide guidance and oversight of investment-related regulations impacting fixed income trading on matters related to portfolio management and execution such as best execution, allocations, crossings, derivative use, trade/transaction reporting, portfolio management, investment restrictions, and broader UCITS and ETF matters.
Our ideal candidate will have at least seven years relevant experience with a leading investment manager and will have a track record of providing commercial and value-adding regulatory advice, in collaboration with the Investment team, Risk and Legal colleagues as required. The successful candidate will exhibit strong partnership, technical and relationship management skills and the ability to build trust with stakeholders.
Core Responsibilities
- Provide the Investment Management business with guidance and advice on investment-related regulations impacting trading and portfolio management activities, with specific focus on Fixed Income active and indexing desks.
- Advise on and oversee new business initiatives from a Compliance perspective.
- Provide Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives.
- Advise on and interpret regulation on the global and local policies in relation to investment decisions, issues and potential breaches.
- Liaise with other IMG Compliance Advisory teams.
- Build and maintain stakeholder relationships with IMG, the risk team (RMG), other members of the Office of the General Counsel (Compliance, Legal, Investment Stewardship and Government Relations) and other teams supporting the operations of the funds.
- Provide advice on the anticipation, impact assessment and response to regulatory developments.
- Design and deliver effective regulatory training initiatives to the business.
- Maintain a deep knowledge and awareness of the investment industry. Stay abreast of current market, regulatory and industry relevant news.
- Contribute to the creation of management reporting and communication on Compliance matters to senior management, business stakeholders, Boards and governance bodies such as Oversight Committees.
VP Fixed Income Investment Compliance Specialist employer: Morgan McKinley
Contact Detail:
Morgan McKinley Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land VP Fixed Income Investment Compliance Specialist
✨Tip Number 1
Network with professionals in the investment management and compliance sectors. Attend industry events, webinars, or local meetups to connect with individuals who work in similar roles. This can help you gain insights into the company culture and potentially get a referral.
✨Tip Number 2
Familiarise yourself with the latest regulations affecting fixed income trading and portfolio management. Being well-versed in current compliance issues will not only boost your confidence but also demonstrate your commitment to staying informed in this rapidly evolving field.
✨Tip Number 3
Prepare for potential interviews by practising situational questions that focus on compliance challenges in investment management. Think about how you would handle specific scenarios related to regulatory breaches or new business initiatives, as these are likely to come up.
✨Tip Number 4
Showcase your ability to build relationships by highlighting past experiences where you successfully collaborated with various teams, such as legal or risk management. This is crucial for the role, so be ready to discuss how you fostered trust and communication in previous positions.
We think you need these skills to ace VP Fixed Income Investment Compliance Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities and requirements of the VP Fixed Income Investment Compliance Specialist position. Tailor your application to highlight relevant experience and skills that align with the job description.
Craft a Strong CV: Your CV should clearly outline your experience in compliance, particularly within investment management. Emphasise your track record of providing regulatory advice and your ability to collaborate with various teams, as these are key aspects of the role.
Write a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Highlight specific examples from your past experience that demonstrate your expertise in fixed income regulations and your ability to build relationships with stakeholders.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Morgan McKinley
✨Know Your Regulations
Familiarise yourself with the key investment-related regulations that impact fixed income trading. Be prepared to discuss how these regulations affect portfolio management and execution, as well as any recent changes in the regulatory landscape.
✨Demonstrate Collaboration Skills
Since this role involves working closely with various teams, highlight your experience in cross-functional collaboration. Share examples of how you've successfully partnered with investment teams, risk management, and legal colleagues to achieve compliance objectives.
✨Showcase Your Industry Knowledge
Stay updated on current market trends and news relevant to the investment industry. During the interview, reference specific developments or challenges in the fixed income market to demonstrate your deep understanding and proactive approach.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past experiences where you provided regulatory advice or managed compliance risks, and be ready to explain your thought process and outcomes.
