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- Tasks: Lead compliance monitoring and testing activities in a dynamic global investment environment.
- Company: Join Qube Research & Technologies, a tech-driven investment manager with a collaborative culture.
- Benefits: Enjoy a healthy work-life balance, competitive salary, and opportunities for professional growth.
- Why this job: Make a real impact by enhancing compliance frameworks and ensuring regulatory adherence.
- Qualifications: 8+ years in compliance monitoring; strong analytical skills and attention to detail required.
- Other info: Diverse and inclusive workplace focused on collective success and innovation.
The predicted salary is between 80000 - 100000 £ per year.
Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped QRT’s collaborative mindset which enables us to solve the most complex challenges. QRT’s culture of innovation continuously drives our ambition to deliver high quality returns for our investors.
Join our Global Compliance team in London, leading investment compliance monitoring and testing activities and supporting the oversight of core compliance frameworks across a global business. This role will play a key part in building out our compliance testing function, acting as a central point of contact globally.
Your future role at QRT:
- Lead the Compliance Monitoring Programme (CMP) and support the development of a global testing function
- Act as a key point of contact for compliance testing activities across jurisdictions
- Deliver thematic reviews and targeted testing, ensuring timely remediation of identified gaps
- Partner with Investment teams to understand new processes and asset classes, and enhance the CMP accordingly
- Perform detailed investment compliance testing, including sampling, control validation, and documentation of results
- Assess control effectiveness and identify areas for enhancement
- Produce clear reporting for senior management and governance forums, including Board-level updates
- Lead compliance risk assessments and support the identification and ongoing monitoring of key compliance risks
- Monitor regulatory developments and conduct gap analyses to ensure ongoing compliance
- Support regulatory reviews, audits, and internal control assessments
Qualifications:
- Bachelor’s degree in a relevant discipline (e.g. Law, Finance, Economics or similar); professional compliance qualifications (e.g. ICA, CISI or equivalent) are advantageous
- 8+ years’ experience in compliance monitoring and testing within a hedge fund, asset manager, or investment bank
- Strong knowledge of investment compliance requirements and global regulatory frameworks (e.g. MiFID, AIFM)
- Proven experience executing and enhancing compliance monitoring programmes and control frameworks
- Experience contributing to compliance risk assessments and governance reporting
- Strong analytical skills, with the ability to interpret complex regulations and translate them into practical testing approaches
- Experience engaging with senior stakeholders, including presenting to governance forums
- Highly organised, with strong attention to detail and the ability to manage multiple reviews simultaneously
QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a healthy work-life balance.
Compliance Officer, Testing & Compliance employer: Qube Research & Technologies
Contact Detail:
Qube Research & Technologies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer, Testing & Compliance
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance field, especially those at QRT. A friendly chat can open doors and give you insights that a job description just can't.
✨Tip Number 2
Prepare for interviews by diving deep into QRT’s culture and values. Show us how your experience aligns with our collaborative mindset and innovative approach. We love candidates who can connect the dots!
✨Tip Number 3
Don’t just wait for job postings! Keep an eye on our website and apply directly. We appreciate proactive candidates who take the initiative to express their interest in joining our team.
✨Tip Number 4
Practice your pitch! Be ready to explain how your skills in compliance monitoring and testing can enhance our Compliance Monitoring Programme. Confidence and clarity can make all the difference!
We think you need these skills to ace Compliance Officer, Testing & Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience that match the Compliance Officer role. Highlight your compliance monitoring and testing experience, especially in hedge funds or asset management, to show us you’re the right fit.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your background aligns with our mission at QRT. Don’t forget to mention any relevant qualifications like ICA or CISI!
Showcase Your Analytical Skills: We love candidates who can interpret complex regulations! In your application, give examples of how you've tackled compliance challenges in the past. This will help us see your analytical prowess in action.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Qube Research & Technologies
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of investment compliance requirements and global regulatory frameworks like MiFID and AIFM. Being able to discuss these in detail will show that you're not just familiar with the basics, but that you can also apply this knowledge practically.
✨Showcase Your Analytical Skills
Prepare to demonstrate your strong analytical skills during the interview. Think of examples where you've interpreted complex regulations or enhanced compliance monitoring programmes. This will help you stand out as someone who can tackle the challenges QRT faces.
✨Engage with Stakeholders
Since the role involves engaging with senior stakeholders, practice how you would present compliance findings or updates. Use clear and concise language, and be ready to answer questions about your reports. This will highlight your communication skills and ability to work collaboratively.
✨Be Organised and Detail-Oriented
Demonstrate your organisational skills by discussing how you manage multiple reviews simultaneously. Bring examples of how your attention to detail has helped you identify gaps or enhance compliance frameworks in previous roles. This will reassure them that you can handle the demands of the position.