At a Glance
- Tasks: Provide strategic compliance advice to 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 knowledge of UK/EU 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 Slough 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 providing strategic compliance advisory support ensures that our team members are empowered to thrive in a fast-paced environment, while our competitive salary and benefits package reflects our dedication to attracting top talent. Join us to be part of a collaborative team that values innovation and excellence in investment management.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Advisory Manager - Investments in Slough
✨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. 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 want you to be able to discuss how these impact investment strategies confidently. Show them you’re not just a candidate, but a potential game-changer!
✨Tip Number 3
When you get the chance, ask insightful questions during interviews. This shows you’re genuinely interested and have done your homework. We love candidates who can engage in meaningful discussions about compliance challenges and solutions!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we’re always on the lookout for passionate individuals ready to make an impact in the compliance world.
We think you need these skills to ace Senior Compliance Advisory Manager - Investments in Slough
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 team. Share specific examples of how you've provided compliance advice in fast-paced environments, and don’t forget to mention your experience with Charles River.
Showcase Your Communication Skills:Since this role involves working closely with various stakeholders, it's crucial to demonstrate your excellent written and verbal communication skills. Use clear and concise language in your application to reflect your ability to provide practical guidance.
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It’s super easy, and you’ll be able to submit all your documents in one go. Plus, we love seeing applications come directly from our site!
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 have the deep regulatory expertise they’re looking for.
✨Showcase Your Stakeholder Management Skills
Prepare examples of how you've successfully partnered with investment teams in the past. Highlight your ability to deliver practical compliance advice and how you’ve navigated complex stakeholder relationships.
✨Familiarise Yourself with Charles River
Since this role requires proficiency in Charles River, make sure you can talk about your experience with it. Be ready to discuss how you've used it for pre-trade compliance monitoring and rule interpretation.
✨Demonstrate Your Problem-Solving Abilities
Think of specific instances where you identified potential risks or operational challenges and how you resolved them. This will illustrate your proactive approach and ability to drive effective resolutions.
