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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 opportunities for professional growth.
- Why this job: Make a real impact in a high-profile role while shaping compliance culture.
- Qualifications: Proven experience in investment compliance and deep knowledge of UK/EU regulations.
- Other info: Collaborative environment with a focus on building strong relationships and team performance.
The predicted salary is between 48000 - 72000 £ 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
✨Network Like a Pro
Get out there and connect with people in the investment compliance field. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. Building relationships can open doors to opportunities that aren’t even advertised!
✨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 bring real value to their team.
✨Be Proactive in Interviews
Don’t wait for the interviewer to ask all the questions. Bring up recent regulatory changes or compliance issues you’ve been following. This shows you’re engaged and knowledgeable, plus it gives you a chance to demonstrate your problem-solving skills right on the spot!
✨Apply Through Our Website
We’ve got some fantastic roles listed on our website, so make sure to check them out! Applying directly through us not only streamlines the process but also gives you a better chance of standing out. Let’s get you that dream job in investment compliance!
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’s super easy to do!
How to prepare for a job interview at Rev & Regs
✨Know Your Regulations
Make sure you brush up on the latest UK and European regulations like UCITS, MIFID, and AIFMD. Being able to discuss these confidently will show that you're not just familiar with the rules but also understand their implications for investment compliance.
✨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 a high-performing team.
✨Engage Stakeholders Effectively
Think about how you can demonstrate your ability to build relationships with senior stakeholders. Be ready to share instances where you've successfully influenced decisions or resolved issues, as this role requires strong interpersonal skills.
✨Stay Current and Proactive
Highlight your commitment to staying informed about emerging regulatory changes. Discuss how you’ve proactively engaged with teams to provide timely compliance advice, showing that you’re not just reactive but also forward-thinking in your approach.