At a Glance
- Tasks: Provide strategic compliance support and advice to investment teams on various products.
- Company: Leading global Asset Manager in the heart of London.
- Benefits: Competitive salary, flexible working, and opportunities for professional growth.
- Other info: Collaborative environment with a focus on innovation and best practices.
- Why this job: Join a dynamic team and make a real impact in investment compliance.
- Qualifications: Experience in investment compliance and strong understanding of UK regulations.
The predicted salary is between 100000 - 110000 € per year.
Rev & Regs are recruiting for a new position working for a leading global Asset Manager in London.
Role Overview:
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.
Key Responsibilities:
- 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.
About You:
- 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.
- Excellent written and verbal communication skills, with the ability to provide clear, concise and practical guidance to a wide range of stakeholders.
Salary: £100,000-£110,000 pa
Location: City of London, 3 days a week office.
Senior Compliance Advisory Manager - Investments 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 benefits and a collaborative environment, ensuring that our team members thrive both personally and professionally while contributing to impactful investment strategies.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Advisory Manager - Investments in City of London
✨Network Like a Pro
Get out there and connect with people in the investment compliance space. Attend industry events, join relevant LinkedIn groups, and don’t be shy about reaching out to professionals for a chat. You never know who might have the inside scoop on job openings!
✨Show Off Your Skills
When you land that interview, make sure to highlight your experience with Charles River and your deep understanding of UK and European regulations. Use specific examples from your past roles to demonstrate how you've tackled compliance challenges and delivered results.
✨Ask Smart Questions
During interviews, ask insightful questions about the company’s compliance culture and how they handle regulatory changes. This shows you're not just interested in the role but also in how you can contribute to their success in a fast-paced environment.
✨Apply Through Our Website
Don’t forget to check out our website for the latest job openings! Applying directly through us can sometimes give you an edge, as we love seeing candidates who are proactive and engaged with our brand.
We think you need these skills to ace Senior Compliance Advisory Manager - Investments in City of London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Compliance Advisory Manager role. Highlight your experience in investment compliance and any relevant regulatory frameworks like UCITS or MiFID. 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 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 Communication Skills:Since this role involves working with various stakeholders, make sure to demonstrate your excellent written communication skills. Use clear and concise language in your application to reflect how you would communicate compliance guidance effectively.
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It helps us keep track of applications and ensures you’re considered for the role. Plus, it’s super easy to do!
How to prepare for a job interview at Rev & Regs
✨Know Your Regulations
Make sure you brush up on key regulatory frameworks like UCITS, MiFID, AIFMD, SFTR, and EMIR. Being able to discuss these confidently will show that you’re not just familiar with the rules but can also apply them in a practical context.
✨Showcase Your Stakeholder Management Skills
Prepare examples of how you've successfully collaborated with investment teams or other stakeholders in the past. Highlight your ability to deliver compliance advice that is both timely and commercially pragmatic, 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 can share specific instances where you’ve used CRD effectively, it’ll set you apart from other candidates.
✨Be Ready to Discuss Process Improvements
Think about times when you identified opportunities for efficiency or best practice implementation in your previous roles. This shows that you’re proactive and can contribute to a strong compliance culture, which is essential for this position.
