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For Companies At a Glance
- Tasks: Lead compliance for investment and trading, ensuring adherence to regulations and best practices.
- Company: Join Pictet Group, a top independent wealth manager with a rich history since 1805.
- Benefits: Enjoy a collaborative culture, professional growth opportunities, and a commitment to diversity.
- Why this job: Be part of a dynamic team shaping compliance in a prestigious asset management firm.
- Qualifications: 10+ years in investment compliance, strong regulatory knowledge, and excellent communication skills required.
- Other info: Fluency in French and programming skills are a plus; no agency CVs accepted.
The predicted salary is between 48000 - 84000 £ per year.
Your team
The Pictet Group is one of the world's leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 5000 people. Pictet has been present in London since 1980, and employs near 400 people. Pictet Asset Management (PAM) manages the assets of some of the world's largest institutions, financial intermediaries and their clients. Our culture welcomes independent thinkers and centres around investment excellence, a long-term perspective and a dedication to client service.
The Pictet Asset Management Compliance Team is organised around three main areas: Distribution, Investment & Trading, and Core Compliance. This position is part of the Investment & Trading Compliance pillar based in London, primarily responsible for the Global Compliance framework for PAM's investment and trading platforms (e.g. best execution, market abuse, gatekeeping, e-coms recording and monitoring and related training). The role reports directly to PAM Limited's Head of Compliance.
Your role
- Establish and uphold our Global Investment & Trading Compliance Governance Framework, while promoting a culture of positive compliance throughout PAM.
- Perform and supervise the execution of the Compliance Monitoring Plan (CMP) for PAM, ensuring the timely completion of associated tasks, and reporting to boards, committees, and Senior Management.
- Define, update and maintain Investment & Trading Compliance Framework and policies.
- Analyse the effect of PAM's new business initiatives and investment products on the CMP.
- Monitor Best Execution ensuring adherence to regulatory requirements and industry best practices.
- Support the Gatekeeper within Equity and Fixed Income, ensuring compliance with PAM Gatekeeper policies and procedures.
- Serve as the primary point of contact for all Investment & Trading Compliance related inquiries and issues, providing expert guidance and support to internal teams and external stakeholders.
- Monitor industry-wide compliance initiatives as well as global regulatory developments and conduct analyses as to how such developments impact PAM.
- Conduct comprehensive and periodic thematic reviews, and control testing to continuously strengthen our compliance framework.
- Support the broader compliance team to ensure continuity of compliance related activities as and when required.
Your profile
- Minimum of 10 years' proven experience in an Investment & Trading Compliance role within an asset management firm.
- Strong knowledge of SEC, FCA, ESMA and EU rules and regulations coupled with a strong knowledge of the financial services sector.
- Up to date relevant knowledge of best compliance regulatory peer practice.
- Effective analytical and organisational skills and strong written and verbal communication skills.
- Ability to investigate issues, proactively problem solve and handle multiple tasks with attention to detail working to strict deadlines.
- Team player, eager to be part of a small, open, and communicative team.
- A confident communicator, able to build positive relationships across the business internally and externally and commitment to contributing to a strong compliance culture within the firm.
- Strong judgement, integrity, and professional demeanour that instils confidence in others.
- Pro-active with a desire to take ownership of and manage own workload to a high standard.
- Tech-savvy, you will be comfortable adjusting to new systems and operating at an expert user level with MS Office applications.
- Experience in programming languages such as Python, SQL, VBA would be a plus.
- French language skills would be beneficial.
Note
We will not accept any CVs via agencies.
Diversity & Inclusion
Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.
Senior Compliance Manager - Investment & Trading Compliance employer: Pictet
Contact Detail:
Pictet Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager - Investment & Trading Compliance
✨Tip Number 1
Familiarise yourself with the specific compliance frameworks and regulations mentioned in the job description, such as SEC, FCA, and ESMA. This will not only help you understand the role better but also allow you to speak confidently about how your experience aligns with their requirements during any discussions.
✨Tip Number 2
Network with professionals in the investment and trading compliance field. Attend industry events or webinars where you can meet people from Pictet or similar firms. Building these connections can provide you with insights into the company culture and potentially give you a referral.
✨Tip Number 3
Stay updated on the latest trends and changes in compliance regulations. Subscribe to relevant newsletters or follow industry leaders on social media. Being knowledgeable about current events will demonstrate your commitment to the field and could be a great conversation starter.
✨Tip Number 4
Prepare to discuss your previous experiences in detail, particularly those that showcase your analytical skills and ability to handle compliance issues. Think of specific examples where you successfully navigated complex regulatory challenges, as this will highlight your suitability for the role.
We think you need these skills to ace Senior Compliance Manager - Investment & Trading Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in Investment & Trading Compliance. Focus on your achievements and how they align with the responsibilities outlined in the job description.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of Pictet Group's values and culture. Emphasise your 10+ years of experience and how it prepares you for the specific challenges of this role.
Highlight Regulatory Knowledge: In your application, clearly demonstrate your knowledge of SEC, FCA, ESMA, and EU regulations. Provide examples of how you've applied this knowledge in previous roles to enhance compliance frameworks.
Showcase Communication Skills: Since strong communication skills are essential for this role, include examples of how you've effectively communicated compliance issues or initiatives to both internal teams and external stakeholders.
How to prepare for a job interview at Pictet
✨Know Your Compliance Regulations
Make sure you have a solid understanding of SEC, FCA, ESMA, and EU rules and regulations. Be prepared to discuss how these regulations impact investment and trading compliance, as this knowledge will demonstrate your expertise in the field.
✨Showcase Your Analytical Skills
Prepare examples that highlight your analytical and organisational skills. Discuss specific instances where you've successfully monitored compliance or conducted thematic reviews, as this will show your ability to handle complex compliance tasks effectively.
✨Demonstrate Team Spirit
Since the role requires being part of a small, communicative team, be ready to share experiences that showcase your teamwork abilities. Highlight how you've collaborated with others to promote a positive compliance culture in previous roles.
✨Be Tech-Savvy
Familiarise yourself with MS Office applications and any programming languages mentioned in the job description, like Python or SQL. Being able to discuss your technical skills confidently can set you apart from other candidates.
