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My client a well-established Asset Manager are searching for a compliance specialist to oversee the implementation of regulatory and compliance projects and to assist the business in implementing new processes and procedures to ensure compliance with new laws and regulations, as well as to provide day to day support to Compliance as necessary.
The regulatory updates referred to include:
* MiFID II / PRIIPs * Senior Managers and Certification Regime * FCA Asset Management Study (Remedies are due to be published soon) * 4th Money Laundering Directive * EU Benchmark Regulation
The job will also entail overseeing a complete review and update of the entire Compliance Manual following MiFID II. Managing the assigned projects will involve working with staff from across the organisation to ensure they are delivered to agreed objectives and outcomes.
* Actively manage the projects throughout the project life cycle * Create project teams and working groups from detailing requirements to delivery, providing hands-on assistance where necessary to get things done * Provide compliance advice and implementation of the projects * Maintain project risk assessments, escalate issues to the Steering Committee where required and work personally to ensure timely resolution * Report on project status to the respective steering committee, Management Committee, etc. * Manage logistics for workshops and meetings, keep appropriate records of outcomes * Management of project costs, including invoice tracking * Manage any third party engagements relating to the project delivery ensuring quality resources are engaged and quality deliverables received * Support other change related activity as required, for example impact analysis, business requirements definition, strategic options assessment etc. * Develop an understanding of the regulations and new business rules that are being introduced. Become comfortable with the detail and help communicate the nature of these changes to all relevant functions * Escalate and report significant regulatory issues * Liaise with relevant external bodies such as industry bodies on investment business related matters
* Strong organisation skills * Strong time management skills * Persistence and resilience * Logical thinker with demonstrable problem-solving skills * Strong planning skills * Self-motivated * Able to work under pressure and without close supervision * A personal orientation to getting things done and being actively involved in getting project tasks finished, both through personal contribution and encouraging others * Strong interpersonal & communication skills with demonstrable experience in working with a wide range of functions at all levels
The Compliance Practice at Charles Levick support Permanent, Contract and Interim recruitment specialising in requisitions ranging from entry level Compliance Assistants through to Senior Level Appointments. Our focus spans Financial Services to include both Buy and Sell side Capital Market organisations, Private and Wealth Management, Insurance, Life and Pensions, Consultancy and Third Party Market providers.