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Act as a key senior regulatory adviser to the business and its management team;
Overall responsibility for the implementation and maintenance of the FCA, SEC, Bermudian and Swiss compliance programmes, with external support of third party service providers where appropriate;
Implementation of new regulatory requirements from time to time;
Management of relationships with third party compliance consultants/advisers;
Ongoing review and evolution of compliance framework (including in accordance with new regulatory requirements and industry best practices);
Running the periodic, risk-based compliance monitoring programme;
Running compliance onboarding training for new staff;
Considering and monitoring code of ethics-type requests (e.g. personal account dealing, gifts and entertainment etc.);
Managing periodic and event based regulatory filings (e.g. FCA GABRIEL and Connect, Form ADV, Form D etc.);
Financial promotions reviews and recipient categorisation;
FATCA and CRS Principal Point of Contact;
material to be presented thereto (e.g. board resolutions); and
Take the lead on all regulatory aspects of significant high risk/impact developments, e.g. new office launches, new business lines and key regulatory change implementation.
Ideally have held the CF10/CF11 functions within an asset management business previously, though strong 'deputy head' or other experienced candidates will also be considered;
Prior generalist in-house experience at an asset manager; familiarity with the workings of a hedge fund;
Experience advising key stakeholders (including investment and marketing professionals) as to regulatory requirements as they pertain to their roles;
Solid understanding and practical experience of AIFMD, MiFID II (as it applies to AIFMs), EMIR, and other UK and European legislation applicable to asset managers. Prior exposure to UCITS, as well as US regulatory requirements and (SEC and ERISA) is beneficial;
Experience with monitoring and assessing compliance with regulatory rules and internal policies, and implementing change where necessary;
Prior exposure to FATCA/CRS beneficial.
Key Personality Attributes
Strong interpersonal skills, team player and able to work across intra-organisational boundaries
Approachable and open personality, cultural sensitivity and ability to work with different personalities
Confidence to challenge existing process in a constructive and collaborative manner
Project gravitas in dealing with senior external and internal stakeholders
Excellent organisational skills with ability to prioritise sensibly and manage expectations
Ability to translate regulatory requirements and analysis into practical solutions and advice
Able to assess risk and navigate ambiguity without compromising the integrity of the firm
Excellent oral and written communication skills
Internal Number: 6284943
About Trevose Partners Limited
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