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A Global Asset Management firm is looking for a strong generalist compliance professional to join their compliance team with the idea that will get involved with a wide range of compliance activities including Advisory and Monitoring
The role requires an enthusiastic team member, with demonstrable compliance monitoring experience and regulatory advisory experience, with clear evidence of a desire to work in a dedicated Compliance role, to join a Compliance department supporting the core compliance initiatives and control framework within the firm's regulated business. You will build relationships with key stakeholders, deliver an exceptional performance in the daily provision of assigned regulatory activities and help successfully drive through compliant requirements and change whilst maintaining excellent relations throughout the organisation.
You will work with and support the Head and Deputy Heads of Compliance to help the department ensure that the firms governance and internal control structures are effective, such that firm is compliant at all times with all applicable rules and regulations.
Produce and effectively communicate high quality compliance advice to various stakeholders across the business, assisting the Compliance department to achieve its overall objective of supporting the business (incl. where relevant firm's international offices) achieve its objectives in a compliant manner.
Support the Head and Deputy Head of Compliance in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan.
You will manage and review the delegated compliance monitoring work which is being performed by the Firm's Compliance Officers and Compliance Monitoring Manager, and provide them with relevant support, training and guidance, as and when appropriate to help them develop.
Undertake and complete Compliance monitoring reviews, including thematic and desk based reviews, which are effectively conducted from planning stage to completion (including the reporting, findings and recommendations stages) in a timely manner.
Provide advice to the investment management and platform business lines of the Firm.
Assist in managing other members of the Compliance department and provide them with suitable support, training, feedback and guidance.
Experience and skills
Substantial regulatory consulting, monitoring or advisory experience and/or experience of working in a Compliance function, preferably in the asset management/servicing sector.
Significant knowledge or experience with FCA and EU applicable rules and regulations, including: Prudential (ICAAP); Investment Advice, Discretionary Management, Fiduciary Management, Product Governance, Suitability, RDR, Inducements, Conflicts of Interest, General Governance & Organisational Arrangements (with focus on asset management/advisory functions and activities), Approved Persons, SMCR, Training & Competence, Outsourcing and Delegation, Principal vs Agent, CASS, Record-Keeping, Data Protection, Order Handling & Execution, Transaction Reporting, FCA Reporting, and generally COBS, SYSC, SUP and MiFID II as they apply to the Firm's regulated activities within its investment management business lines.