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- Tasks: Provide top-notch compliance advice and support to investment management teams.
- Company: Join a leading global asset management firm with a strong reputation.
- Benefits: Enjoy a competitive salary, hybrid work model, and career development opportunities.
- Other info: Collaborate with senior stakeholders and build a high-performing team.
- Why this job: Make a real impact in a high-profile role within a dynamic compliance environment.
- Qualifications: Proven experience in investment compliance and knowledge of UK and European regulations.
The predicted salary is between 70000 - 90000 £ per year.
Rev & Regs is excited to be working with a global asset management firm to hire an Investment Compliance, Associate Director. It is a standout opportunity for a senior compliance professional to step into a high-profile role. This is a permanent role which will play an active part in providing regulatory advice & interpretation and compliance support.
Responsibilities:
- This role is expected to bring strong technical expertise to the team, and help to address Investment Management teams’ compliance needs and collaborate with other advisory and monitoring leads to deliver globally consistent and best in class compliance support.
- Keep abreast of emerging regulatory rules and announcements and make recommendations around policy, procedure and control implications.
- Proactively engage with the Investment Management functions, across all asset classes, and be responsible for delivering timely and high-quality compliance and regulatory advice to all stakeholders.
- Communicate relevant information to respective stakeholders and management forums.
- Respond to client issues and regulatory inquiries related to Investment Management activities.
- Support review of documents like the prospectus and investment agreements and provide comments/feedback to ensure they are compliant with regulatory requirements.
- Proactively engage with the Regulatory Reporting teams to provide timely and high-quality compliance advice on various matters related to trade, transaction and related regulatory reporting obligations.
- Keep informed of internal developments which impact regulatory requirements e.g. fund structures, new products.
- Contribute to building a high performing team.
- Develop and maintain a strong peer network as well as productive relationships with senior stakeholders by providing expert support, quick issue resolution & confident challenge.
- Play an active role in educating stakeholders, in order to drive sustainable improvements in compliance culture.
Experience:
- Proven track record of delivering investment compliance advice focused on equities, fixed income and multi-asset instruments and Private assets preferable.
- Deep knowledge of the UK and European regulatory environment.
- Strong appreciation of specific, relevant regulation and legislation e.g. UCITS, MIFID, AIFMD, SFTR, EMIR.
- Effective influencer, able to build productive relationships, while comfortable challenging and negotiating different viewpoints.
Duration: Permanent
Location: Hybrid (3 days per week in City of London office)
Investment Compliance, Associate Director in London employer: Rev & Regs
Contact Detail:
Rev & Regs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Compliance, Associate Director in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment compliance field and let them know you're on the lookout for new opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK and European regulations. Be ready to discuss how your expertise aligns with the needs of the firm, especially around UCITS, MIFID, and AIFMD. Show them you’re the go-to person for compliance advice!
✨Tip Number 3
Don’t just wait for job postings; be proactive! Check our website regularly and apply directly through us. This shows initiative and can help you stand out from the crowd.
✨Tip Number 4
Follow up after interviews with a thank-you note. It’s a simple gesture that keeps you fresh in their minds and shows your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’re the best fit for the team!
We think you need these skills to ace Investment Compliance, Associate Director in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Investment Compliance role. Highlight your experience with regulatory frameworks like UCITS and MIFID, and showcase how you've delivered compliance advice in previous roles. We want to see how your skills align with what we're looking for!
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 makes you a perfect fit for this high-profile role. Don't forget to mention your ability to build relationships and influence stakeholders.
Showcase Your Technical Expertise: In your application, be sure to highlight your technical expertise in investment compliance. Discuss specific regulations you've worked with and any relevant projects that demonstrate your knowledge of the UK and European regulatory environment. We love seeing concrete examples!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates. Plus, it shows you're keen on joining our team at StudySmarter!
How to prepare for a job interview at Rev & Regs
✨Know Your Regulations
Make sure you brush up on the latest UK and European regulatory frameworks like UCITS, MIFID, and AIFMD. Being able to discuss these regulations confidently will show that you're not just familiar with compliance but are also proactive about staying updated.
✨Showcase Your Technical Expertise
Prepare to discuss your previous experiences in delivering investment compliance advice, especially around equities and fixed income. Use specific examples to illustrate how you've tackled compliance challenges and contributed to high-quality support in your past roles.
✨Engage with Stakeholders
Think about how you've built relationships with senior stakeholders in the past. Be ready to share examples of how you've communicated complex compliance issues clearly and effectively, and how you've influenced decisions in a collaborative manner.
✨Demonstrate Your Problem-Solving Skills
Be prepared to discuss how you've handled client issues or regulatory inquiries in the past. Highlight your approach to resolving these matters quickly and efficiently, as well as any strategies you've implemented to improve compliance culture within your team.