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- Tasks: Lead compliance efforts, conduct audits, and ensure regulatory adherence.
- Company: Join a dynamic asset management firm committed to compliance excellence.
- Benefits: Gain valuable experience in a growing industry with potential for career advancement.
- Why this job: Shape compliance strategies and work in a collaborative environment focused on integrity.
- Qualifications: 5+ years in compliance, strong communication skills, and relevant certifications preferred.
- Other info: Experience with FCA and crypto compliance is a plus.
The predicted salary is between 43200 - 72000 £ per year.
Our client is in search of a Compliance Manager to join their expanding team. This role offers the opportunity to work with a dynamic company in the asset management industry, dedicated to upholding the highest standards of compliance and regulatory excellence. The successful candidate will be responsible for ensuring that the company’s operations comply with regulatory requirements and internal policies, safeguarding the legality and standardisation of business activities., As a Compliance Manager, you will play a crucial role in maintaining our client’s commitment to regulatory excellence. You will oversee the implementation of compliance policies, conduct regular audits, ensure employee adherence to regulations, act as the primary contact for FCA-related matters, assist in regulatory inspections, report on compliance status, and stay abreast of changes in regulatory requirements. Your expertise will help shape the company’s compliance strategies.
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Oversee and implement the company’s compliance policies and procedures in line with regulations and industry best practices.
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Conduct regular compliance audits and risk assessments to identify and mitigate potential issues.
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Ensure that all employees are aware of and adhere to relevant regulations and internal policies by providing compliance training.
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Act as the primary point of contact for all FCA-related matters, including license applications, audits, and communications.
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Assist in responding to regulatory inspections and investigations, handling compliance issues and complaints.
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Regularly report the company’s compliance status and provide recommendations to senior management.
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Stay up-to-date with changes in regulatory requirements and industry trends, adjusting the company’s compliance strategies accordingly.
The ideal candidate for this Compliance Manager position brings a wealth of experience from the financial asset management industry. With at least 5 years of experience under your belt, you have developed an in-depth understanding of regulatory regulations and compliance frameworks. Your strong communication skills enable you to effectively coordinate cross-departmental collaboration. Proficiency in using compliance management tools is essential for this role. Relevant certifications such as CFA, CIA or CRCM would be advantageous. Experience working with the FCA and familiarity with compliance and regulatory policies in the crypto industry would be highly desirable.
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Bachelor’s degree or higher in Finance, Law, or a related field.
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At least 5 years of compliance experience in the financial asset management industry.
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In-depth knowledge of regulatory regulations and compliance frameworks.
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Thorough understanding of compliance auditing, risk control, and internal controls.
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Strong communication and teamwork skills.
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Proficiency in using compliance management tools and software.
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Relevant compliance certifications (e.g., CFA, CIA, CRCM) are preferred.
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Experience working with the FCA is highly desirable.
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Familiarity with compliance and regulatory policies in the crypto industry.
Compliance Manager employer: Robert Walters
Contact Detail:
Robert Walters Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Make sure to highlight your experience in the financial asset management industry during networking events or informational interviews. Connect with professionals who are already working in compliance roles, as they can provide valuable insights and potentially refer you to open positions.
✨Tip Number 2
Stay updated on the latest regulatory changes and trends in the compliance landscape, especially those related to the FCA and the crypto industry. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Consider joining professional organizations or online forums focused on compliance and regulatory affairs. Engaging with these communities can help you build connections and learn about job openings that may not be advertised widely.
✨Tip Number 4
If you have relevant certifications like CFA, CIA, or CRCM, make sure to mention them in conversations with industry contacts. These credentials can set you apart from other candidates and show your dedication to maintaining high compliance standards.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, especially within the financial asset management industry. Emphasize your understanding of regulatory frameworks and any specific tools you have used.
Craft a Strong Cover Letter: In your cover letter, express your passion for compliance and regulatory excellence. Mention specific experiences that demonstrate your ability to implement compliance policies and conduct audits.
Highlight Relevant Certifications: If you have certifications like CFA, CIA, or CRCM, be sure to mention them prominently in your application. These credentials can set you apart from other candidates.
Showcase Communication Skills: Since strong communication skills are essential for this role, provide examples in your application of how you've effectively coordinated with different departments or handled FCA-related matters.
How to prepare for a job interview at Robert Walters
✨Showcase Your Regulatory Knowledge
Make sure to highlight your in-depth understanding of regulatory regulations and compliance frameworks during the interview. Be prepared to discuss specific examples from your past experience that demonstrate your expertise in these areas.
✨Emphasize Communication Skills
Since strong communication skills are crucial for this role, think of instances where you successfully coordinated cross-departmental collaboration. Share how you effectively communicated compliance policies and ensured adherence among employees.
✨Demonstrate Familiarity with FCA Matters
As the primary contact for FCA-related matters, it's important to show your familiarity with the FCA's processes. Prepare to discuss your experience with license applications, audits, and any interactions you've had with regulatory bodies.
✨Stay Updated on Industry Trends
Be ready to talk about recent changes in regulatory requirements and industry trends, especially in the asset management and crypto sectors. This will demonstrate your commitment to staying informed and adapting compliance strategies accordingly.
