At a Glance
- Tasks: Provide strategic compliance support and guidance in a fast-paced investment environment.
- Company: Leading global Asset Manager based in London with a focus on innovation.
- Benefits: Competitive salary, professional development, and a collaborative work culture.
- Other info: Opportunity to work with cutting-edge regulatory frameworks and enhance your career.
- Why this job: Join a dynamic team and make a real impact on investment compliance strategies.
- Qualifications: Experience in investment compliance and strong stakeholder management skills.
The predicted salary is between 80000 - 100000 € per year.
Rev & Regs are recruiting for a new position working for a leading global Asset Manager in London. We are seeking an experienced and commercially focused Investment Compliance professional to join our Global Investment Compliance (GIC) team. This role will provide strategic compliance advisory support to Portfolio Management, Product, Institutional and broader investment support teams across a range of investment products and mandates.
The successful candidate will combine deep regulatory expertise with strong stakeholder management capabilities, delivering timely, practical and risk-based compliance guidance in a fast-paced investment management environment.
- Partner closely with investment personnel and support teams to understand investment strategies, operational considerations and the impact of investment guideline interpretations on portfolio management activities.
- Deliver timely, accurate and commercially pragmatic compliance advice to Portfolio Management teams and associated business stakeholders.
- Support Product and Institutional teams with the onboarding and launch of new institutional mandates and investment products, collaborating with Legal, Compliance and GIC colleagues to ensure compliant and efficient implementation.
- Demonstrate strong proficiency in Charles River (CRD), including interpretation and oversight of compliance rules coding for complex investment strategies, fixed income securities, FX and derivatives.
- Maintain and update compliance and restricted lists within Charles River, including supporting market conduct controls and pre-trade compliance monitoring.
- Review prospectuses, Investment Management Agreements (IMAs) and related documentation to ensure alignment with internal policies, client guidelines and applicable regulatory requirements.
- Monitor emerging regulatory developments and industry trends, assessing implications for policies, procedures and control frameworks.
- Work collaboratively with global advisory and monitoring teams to identify opportunities for process improvement, efficiency and best practice implementation.
- Support the design, implementation and monitoring of compliance metrics, reporting and KPIs.
- Promote a strong compliance and control culture, ensuring legal and regulatory risks are effectively identified and mitigated.
- Proactively identify potential risks, conflicts or operational challenges and drive effective resolution before they impact delivery.
Proven experience delivering investment compliance advisory support across equities, fixed income and multi-asset strategies. Strong understanding of investment management regulations within the UK and European regulatory environment. Deep knowledge of key regulatory frameworks including UCITS, MiFID, AIFMD, SFTR and EMIR. Experience working with Charles River (CRD), including pre-trade compliance monitoring and rule interpretation. Knowledge of alternative assets and active ETFs would be advantageous.
Location: City of London, 3 days a week office.
Compliance Monitoring Senior Manager - Investment in City of London employer: Rev & Regs
As a leading global Asset Manager based in the heart of London, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our commitment to compliance excellence is matched by our dedication to providing comprehensive training and mentorship opportunities, ensuring that our team members thrive in their careers while contributing to impactful investment strategies. With a focus on collaboration and innovation, we offer a stimulating environment where your expertise in investment compliance will be valued and rewarded.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Senior Manager - Investment in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment compliance space. Attend industry events or webinars, and don’t be shy about introducing yourself to potential employers. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of regulatory frameworks like UCITS and MiFID. We recommend having specific examples ready that showcase your experience with compliance advisory support. Show them you’re the expert they need!
✨Tip Number 3
Don’t forget to tailor your approach! When you’re applying through our website, make sure your application reflects the specific skills and experiences mentioned in the job description. We want to see how you can bring value to their team!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way. It shows your enthusiasm for the role and keeps you fresh in their minds. We believe that a little courtesy can make a big difference in landing that dream job!
We think you need these skills to ace Compliance Monitoring Senior Manager - Investment in City of London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the role of Senior Compliance Advisory Manager. Highlight your experience in investment compliance and any relevant regulatory frameworks like UCITS or MiFID. We want to see how your skills match 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 our Global Investment Compliance team. Share specific examples of how you've provided compliance advice in fast-paced environments, just like we do at StudySmarter.
Showcase Your Stakeholder Management Skills:In this role, you'll be working closely with various teams. Make sure to highlight your stakeholder management capabilities in your application. We love seeing candidates who can effectively communicate and collaborate across different departments!
Apply Through Our Website:Don't forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining the StudySmarter family!
How to prepare for a job interview at Rev & Regs
✨Know Your Regulations
Make sure you brush up on the key regulatory frameworks like UCITS, MiFID, AIFMD, SFTR, and EMIR. Being able to discuss these in detail will show that you’re not just familiar with them but can apply this knowledge practically in your role.
✨Showcase Your Stakeholder Management Skills
Prepare examples of how you've successfully collaborated with different teams in the past. Highlight your ability to deliver compliance advice that balances regulatory requirements with business needs, as this is crucial for the role.
✨Demonstrate Your Technical Proficiency
Familiarise yourself with Charles River (CRD) and be ready to discuss your experience with compliance rules coding and pre-trade monitoring. If you have specific examples of how you’ve used CRD to enhance compliance processes, share those!
✨Stay Ahead of Industry Trends
Research recent regulatory developments and industry trends that could impact investment compliance. Being able to discuss these insights during your interview will demonstrate your proactive approach and commitment to staying informed.
