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- Tasks: Provide regulatory advice and compliance support for investment management teams.
- Company: Global asset management firm with a strong reputation in the industry.
- Benefits: Competitive salary, hybrid work model, and opportunities for professional growth.
- Why this job: Step into a high-profile role and make a real impact on compliance culture.
- Qualifications: Proven investment compliance experience and deep knowledge of UK and European regulations.
- Other info: Join a high-performing team and build strong relationships with senior stakeholders.
The predicted salary is between 110000 - 120000 £ per year.
Rev & Regs is excited to be working with a global asset management firm to hire an Associate Director in Investment Compliance. This 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.
- Relevant investment management qualification (e.g. Investment Management Certificate).
- Effective influencer, able to build productive relationships, while comfortable challenging and negotiating different viewpoints.
Duration: Permanent
Salary: £110,000 - £120,000
Location: Hybrid (3 days per week in City of London office)
Investment Compliance, Associate Director employer: REV & REGS LIMITED
Contact Detail:
REV & REGS LIMITED Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Compliance, Associate Director
✨Network Like a Pro
Get out there and connect with folks in the investment compliance space. Attend industry events, join relevant LinkedIn groups, and don’t be shy about reaching out to people for a chat. Building relationships can open doors that you didn’t even know existed!
✨Show Off Your Expertise
When you get the chance to chat with potential employers, make sure to highlight your deep knowledge of UK and European regulations. Share specific examples of how you've tackled compliance challenges in the past. This will show them you’re not just another candidate, but someone who can really add value.
✨Be Proactive
Don’t wait for job openings to pop up! Reach out to companies you admire and express your interest in working with them. Sometimes, the best opportunities come from simply putting yourself out there and showing enthusiasm for their mission.
✨Apply Through Our Website
We’ve got a fantastic platform for job applications, so make sure to apply through our website. It’s a great way to ensure your application gets the attention it deserves, and we’re always on the lookout for talented individuals like you!
We think you need these skills to ace Investment Compliance, Associate Director
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 any relevant qualifications. We want to see how your background aligns 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 the perfect fit for this high-profile role. Share specific examples of how you've delivered compliance advice in the past and how you can contribute to our team.
Showcase Your Technical Expertise: In your application, don't shy away from showcasing your technical expertise in investment compliance. Mention your familiarity with various asset classes and your ability to keep up with emerging regulations. This will help us see your value right away!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it’s super easy!
How to prepare for a job interview at REV & REGS LIMITED
✨Know Your Regulations
Make sure you brush up on the key regulations like UCITS, MIFID, and AIFMD. Being able to discuss these confidently will show that you’re not just familiar with the compliance landscape but also ready to tackle the challenges that come with it.
✨Showcase Your Experience
Prepare specific examples from your past roles where you successfully navigated compliance issues or provided regulatory advice. This will help demonstrate your expertise and how you can add value to the team.
✨Engage with Stakeholders
Think about how you’ve built relationships in previous roles. Be ready to discuss how you’ve effectively communicated with various stakeholders and resolved issues, as this is crucial for the role.
✨Stay Current
Keep yourself updated on the latest regulatory changes and trends in the investment management sector. Showing that you’re proactive about staying informed will impress interviewers and highlight your commitment to compliance excellence.