At a Glance
- Tasks: Lead legal and compliance functions, ensuring adherence to UK and international regulations.
- Company: Global investment management firm with a strong reputation.
- Benefits: High-profile leadership role, exposure to senior management, and collaborative environment.
- Other info: Opportunity to manage and develop junior team members while fostering a compliance culture.
- Why this job: Make a significant impact in a dynamic and intellectually stimulating setting.
- Qualifications: 10+ years in legal/compliance roles, FCA experience, and strong regulatory knowledge.
The predicted salary is between 63000 - 77000 £ per year.
- Acting Director, Legal & Compliance (12-15 Month FTC)
- London | Hybrid Working
- An established global investment management firm is seeking an experienced
Acting Director, Legal & Compliance to join its London office on a long-term maternity cover contract.
This is a senior leadership opportunity for an individual with extensive experience across legal, compliance, regulatory affairs and financial crime within an FCA-regulated investment management environment.
The successful candidate will act as the primary legal and compliance lead for the UK business, partnering closely with senior stakeholders globally while ensuring adherence to UK and international regulatory requirements.
Key Responsibilities
- Hold responsibility for the UK Compliance function, including SMF16 (Compliance Oversight) and SMF17 (MLRO) responsibilities.
- Lead and maintain the firm's legal and compliance framework across a range of investment products and distribution channels.
- Provide strategic advice on regulatory developments impacting operations across the UK, Europe and the Middle East.
- Act as the primary contact for regulators, external counsel and key service providers.
- Review, negotiate and advise on a broad range of commercial, distribution and investment management agreements.
- Oversee AML/KYC, financial crime, governance and compliance monitoring activities.
- Support cross-border fund distribution and ensure compliance with applicable regulatory regimes.
- Deliver regulatory training and guidance to business stakeholders.
- Lead policy development and implementation in response to evolving regulatory requirements.
- Manage and develop junior compliance team members whilst fostering a strong compliance culture.
Requirements
- 10+ years' experience within legal and/or compliance roles in asset management, investment management, private funds, financial services or a related advisory environment.
- Current or previous experience within an FCA-regulated firm.
- Strong understanding of the UK regulatory landscape, including FCA requirements and financial crime obligations.
- Deep knowledge of UCITS, AIFMD, Mi FID, SFDR, EMIR, AML/KYC and broader European regulatory frameworks.
- Experience supporting fund distribution, institutional client relationships and cross-border business activities.
- Proven ability to provide commercially focused legal and regulatory advice to senior stakeholders.
- Strong contract review and negotiation experience.
- Excellent communication skills and experience presenting to leadership teams and governance committees.
- What's on Offer
- High-profile leadership role within a globally recognised investment organisation.
- Significant exposure to senior management and international stakeholders.
- Broad remit spanning legal, compliance, financial crime and regulatory affairs.
- Collaborative and intellectually stimulating environment.
- #J-18808-Ljbffr
Acting Director, Legal and Compliance in London employer: William Blake Group
As a leading Investment Management firm, we pride ourselves on fostering a dynamic and inclusive work culture that empowers our employees to thrive. With a strong focus on professional development, we offer tailored training and mentorship opportunities, ensuring that our team members in the South West region can grow their careers while making meaningful contributions to our clients' success. Our commitment to work-life balance, coupled with the chance to engage with industry leaders at events across Devon and Cornwall, makes us an exceptional employer for those seeking a rewarding career in business development.
StudySmarter Expert Advice🤫
We think this is how you could land Acting Director, Legal and Compliance in London
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like William Blake Group when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from William Blake Group!
We think you need these skills to ace Acting Director, Legal and Compliance in London
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like Acting Director, Legal and Compliance, make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at William Blake Group. Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at William Blake Group
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at William Blake Group.
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit William Blake Group in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at William Blake Group.
