Risk & Compliance Specialist – Investment Management

Davies Group; London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading asset management firm in London is seeking an experienced Fund Compliance Specialist. This role involves advising on control improvements and providing compliance consultancy while engaging with senior stakeholders. The ideal candidate possesses strong compliance experience in investment management and excellent communication skills. Join an ambitious team aiming to double AUM in this varied compliance role.

Qualifications

• Demonstrable Compliance experience in the investment management sector, particularly in an ACD business.
• Strong understanding of regulatory requirements, including investment principles and portfolio liquidity.
• Ability to influence, facilitate and negotiate.

Responsibilities

• Advise business areas on control improvement actions.
• Provide investment risk and compliance consultancy to stakeholders.
• Lead on second line engagement change initiatives.
• Support development of the Compliance Plan.
• Review daily risk measurement checks.
• Act as contact for error and breach identification.

Skills

Compliance experience in investment management

Understanding of 2LoD compliance monitoring

Excellent communication skills

Job description

Our client, one of the UK’s largest asset managers with ambitions to double AUM, are looking to appoint an experienced Fund Compliance Specialist in a broad and rewarding role, covering both assurance and advisory activities.

Reporting directly to the Head of Risk & Compliance, the role will also support the firm’s wider strategic ambitions, including through engagement in the development of exciting new propositions. This is an opportunity to join a dynamic and ambitious firm in a varied Compliance role with exposure to senior stakeholders, both internally and externally.

You will:

• Advise business areas on recommended control improvement actions.
• Provide investment risk and compliance consultancy to key stakeholders
• Lead on second line engagement change initiatives.
• Support the Head of Risk and Compliance in the development and delivery of the Compliance Plan.
• Review daily risk measurement checks (e.g. Derivative exposures; fund compliance with VaR limits, VaR back-testing overshoots and Liquidity thresholds)
• Act as the risk and compliance contact for error and breach identification, resolution, trend analysis and escalation.
• Liaise with the Depositary to complete regulatory and best practice obligations.

The ideal candidate will have demonstrable Compliance experience in the investment management sector, particularly in an ACD business; Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements, including investment principles, investment types and portfolio liquidity; Excellent communication skills, with an ability to influence, facilitate and negotiate.