Risk & Compliance Specialist - Investment Management

Davies Talent Solutions; London; On-site; GBP 125,000 - 150,000; Full time

Job summary

A leading asset management firm in London is looking for an experienced Fund Compliance Specialist. The role involves advising on control improvements, providing compliance consultancy to stakeholders, and supporting the development of the Compliance Plan. The ideal candidate will have strong compliance experience in the investment management sector and excellent communication skills.

Qualifications

• Demonstrable compliance experience in the investment management sector.
• Strong understanding of regulatory requirements and investment principles.
• Excellent communication skills, with the ability to influence and negotiate.

Responsibilities

• Advise business areas on control improvement actions.
• Provide investment risk and compliance consultancy.
• Support the development of the Compliance Plan.

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, is 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.

Responsibilities:

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

Candidate Profile:

• 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 the ability to influence, facilitate, and negotiate.