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For Companies At a Glance
- Tasks: Lead compliance efforts, manage risk, and ensure regulatory adherence.
- Company: Join a boutique asset manager known for its innovative approach.
- Benefits: Enjoy a highly visible role with opportunities for professional growth.
- Why this job: Make a real impact in strategic risk management and compliance.
- Qualifications: 10+ years in compliance, strong knowledge of FCA, SEC, and EU regulations.
- Other info: Ideal for a generalist compliance professional seeking new challenges.
The predicted salary is between 43200 - 72000 £ per year.
Our client, a boutique asset manager, is seeking an experienced Compliance Officer to join the team. This role ensures compliance with FCA, SEC, and EU regulations, oversees risk management, and supports governance and reporting requirements. You will be responsible for maintaining and updating compliance policies, risk frameworks, and regulatory filings. In addition to this, you will be expected to liaise with regulators, external compliance advisors, and service providers.
Key Requirements:
- 10+ years’ experience in compliance within asset management.
- Strong knowledge of FCA, SEC, and EU regulations.
- Experience with investment trust companies and UCITS funds (preferred).
- Ability to interpret new regulations and implement necessary changes.
This is a great opportunity for a generalist compliance professional who is looking for a highly visible role offering great exposure and opportunity to contribute to strategic risk management.
Head of Compliance SMF16 employer: William Blake Group
Contact Detail:
William Blake Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance SMF16
✨Tip Number 1
Network with professionals in the asset management sector, especially those who have experience with compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in FCA, SEC, and EU regulations.
✨Tip Number 2
Stay updated on recent changes in compliance regulations by following relevant news sources and regulatory bodies. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Consider reaching out to current or former employees of the company to gain insights into their compliance culture and expectations. This can provide you with valuable information that can be used to tailor your approach during the interview process.
✨Tip Number 4
Prepare specific examples from your past experience that showcase your ability to interpret regulations and implement changes effectively. Being able to discuss these instances in detail will highlight your expertise and suitability for the role.
We think you need these skills to ace Head of Compliance SMF16
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of the Head of Compliance SMF16 position. Familiarise yourself with FCA, SEC, and EU regulations, as well as the specific compliance needs of asset management.
Tailor Your CV: Highlight your 10+ years of experience in compliance within asset management. Emphasise your knowledge of relevant regulations and any experience with investment trust companies and UCITS funds. Make sure your CV reflects your ability to interpret and implement regulatory changes.
Craft a Compelling Cover Letter: Write a cover letter that showcases your expertise in compliance and risk management. Discuss specific examples of how you've maintained compliance policies and liaised with regulators in previous roles. This is your chance to demonstrate your strategic thinking and problem-solving skills.
Proofread and Submit: Before submitting your application, carefully proofread all documents for errors and clarity. Ensure that your application is complete and that all required information is included. Submit your application through our website to ensure it reaches the right people.
How to prepare for a job interview at William Blake Group
✨Showcase Your Regulatory Knowledge
Make sure to brush up on FCA, SEC, and EU regulations before the interview. Be prepared to discuss how you've applied this knowledge in your previous roles, especially in asset management.
✨Demonstrate Risk Management Experience
Highlight your experience with risk frameworks and compliance policies. Share specific examples of how you've successfully managed risks in past positions, as this will be crucial for the role.
✨Prepare for Scenario-Based Questions
Expect questions that assess your ability to interpret new regulations and implement changes. Think of scenarios where you had to adapt to regulatory updates and be ready to explain your thought process.
✨Emphasise Communication Skills
Since liaising with regulators and external advisors is key, be ready to discuss how you've effectively communicated compliance matters in the past. Strong interpersonal skills will be a big plus.
