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- Tasks: Provide regulatory advice and compliance support across UK, Ireland, and Europe.
- Company: Global asset management firm in the heart of London.
- Benefits: Competitive salary, bonus, hybrid work, and comprehensive benefits package.
- Why this job: Join a dynamic team and shape compliance strategies in a fast-paced environment.
- Qualifications: Strong regulatory knowledge and experience in investment compliance.
- Other info: Opportunity for career growth and to make a real impact in the industry.
The predicted salary is between 66000 - 88000 £ per year.
Rev & Regs are recruiting for a Senior Compliance Advisory Manager position for a global asset management company in the City of London. You will play an active role in providing regulatory advice & interpretation and compliance support to teams in the UK, Ireland and Continental Europe cutting across all asset classes namely Equities, Fixed Income and Multi-Asset.
The individual for this role is expected to bring strong technical expertise to the team, particularly focusing to improve the quality and coverage of end-to-end portfolio compliance advice to respective business stakeholders in the UK, Ireland and Continental Europe.
Responsibilities:
- Collaborate with investment personnel and their support teams to understand their perspective and the impact of investment guideline issues and interpretations on the investment process.
- Act as a partner to Product and Institutional teams, supporting the onboarding/launch of new institutional mandates and products.
- Demonstrate proficiency on Charles River (CRD), demonstrate experience and ability in interpreting compliance rules coded in CRD, particularly with respect to complex investment strategies, fixed income securities, FX, and derivatives.
- Assist with pre-trade alerts and queries in Charles River and maintenance of the restricted list related to market conduct.
- Review the prospectus and IMAs to ensure they are consistent with internal guidelines and regulatory requirements as part of new onboarding calls or fund changes.
- Understand and articulate differences in local requirements.
- Keep abreast of market trends around client mandates, how they impact portfolio strategy, and how regulators are responding.
- Monitor emerging regulatory rules and announcements and make recommendations around clear policy, procedure and control implications.
- Respond to client issues and regulatory inquiries related to Investment Management activities.
- Work closely with other advisory and monitoring colleagues, to identify improvement opportunities, actively drive efficiency, consistency and best practice globally.
Experience:
- Self-starter who can work in a fast-paced environment under time critical deadlines with competing priorities and who is able to manage expectations of key stakeholders.
- Strong appreciation of specific, relevant regulation and legislation e.g. UCITS, MIFID, AIFMD, SFTR, EMIR.
- Proven track record of delivering investment compliance advice focused on equities, fixed income and multi-asset instruments.
- Someone with alternative assets and active ETF experience would be advantageous.
- Deep knowledge of the UK and European regulatory environment.
- Ideally a relevant investment management qualification (e.g. Investment Management Certificate), but not essential.
Location: Hybrid (3 days per week in City of London office)
Salary: £110,000 + bonus + benefits package
Senior Compliance Advisory Manager in London employer: Rev & Regs
Contact Detail:
Rev & Regs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Advisory Manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the asset management world, especially those who know the ins and outs of compliance. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulations like UCITS and MIFID. We want you to be able to discuss how these impact investment strategies confidently. Show them you’re not just a candidate, but a compliance guru!
✨Tip Number 3
Don’t forget to showcase your experience with tools like Charles River. If you’ve got stories about how you’ve tackled compliance challenges using CRD, share them! Real-life examples can set you apart from the competition.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search. Let’s get you that Senior Compliance Advisory Manager role!
We think you need these skills to ace Senior Compliance Advisory Manager in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Senior Compliance Advisory Manager. Highlight your experience with regulatory advice, compliance support, and any specific asset classes you've worked with. 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 role. Mention your technical expertise and how you can improve compliance advice for our teams across the UK, Ireland, and Continental Europe. Let us know what excites you about working with us!
Showcase Relevant Experience: When detailing your experience, focus on your knowledge of regulations like UCITS, MIFID, and AIFMD. If you've got hands-on experience with Charles River, make sure to mention that too! We love seeing candidates who can hit the ground running.
Apply Through Our Website: We encourage you to apply through our website for a smoother application 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 to do!
How to prepare for a job interview at Rev & Regs
✨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 compliance but that you understand how they impact investment strategies.
✨Master Charles River
Since proficiency in Charles River is crucial for this role, take some time to get comfortable with its functionalities. If possible, practice interpreting compliance rules coded in CRD, especially for complex investment strategies. This will give you a leg up during technical discussions.
✨Showcase Your Collaboration Skills
This role involves working closely with various teams, so be ready to share examples of how you've successfully collaborated in the past. Highlight your ability to partner with investment personnel and support teams to navigate compliance challenges.
✨Stay Updated on Market Trends
Demonstrate your awareness of current market trends and regulatory changes. Bring insights about how these trends could affect portfolio strategies and compliance. This shows that you’re proactive and engaged with the industry.
