At a Glance
- Tasks: Provide strategic compliance support for investment teams and ensure regulatory adherence.
- 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 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.
Senior Compliance Manager (Investments) in 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 Senior Compliance Manager (Investments) in 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. We all know that sometimes it’s not just what you know, but who you know!
✨Show Off Your Skills
When you get the chance to meet potential employers or colleagues, make sure to highlight your experience with Charles River and your deep understanding of investment regulations. We want to see you confidently discussing how you've tackled compliance challenges in the past!
✨Prepare for the Interview
Do your homework on the company and its investment strategies before the interview. We recommend preparing some thoughtful questions about their compliance processes and how they handle regulatory changes. This shows you’re genuinely interested and ready to contribute!
✨Apply Through Our Website
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who take the initiative to engage directly with us!
We think you need these skills to ace Senior Compliance Manager (Investments) in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your experience in investment compliance and any relevant regulatory frameworks like UCITS or MiFID. 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 the perfect fit for our Global Investment Compliance team. Share specific examples of how you've provided compliance advisory support in the past, especially in fast-paced environments.
Showcase Your Stakeholder Management Skills:In your application, don’t forget to mention your stakeholder management capabilities. We value candidates who can partner closely with investment personnel and support teams, so share any relevant experiences that demonstrate this skill.
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It’s the easiest way for us to keep track of your application and ensure it reaches the right people. Plus, it shows you’re keen on joining our team!
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 confidently will show that you have the deep regulatory expertise they’re looking for.
✨Showcase Your Stakeholder Management Skills
Prepare examples of how you've successfully partnered with investment personnel and support teams in the past. Highlight your ability to deliver practical compliance advice and how it positively impacted portfolio management activities.
✨Familiarise Yourself with Charles River
Since proficiency in Charles River (CRD) is crucial, be ready to discuss your experience with compliance rules coding and pre-trade compliance monitoring. If you can share specific instances where you’ve used CRD effectively, even better!
✨Stay Ahead of Industry Trends
Demonstrate your awareness of emerging regulatory developments and industry trends. Be prepared to discuss how these could impact compliance policies and procedures, showing that you’re proactive in identifying risks and driving solutions.
