Investment Management Compliance Cover Letter

I would like to submit my application for the investment management compliance opening. Please accept this letter and the attached resume.

In my previous role, I was responsible for investment counselling to advisers on customized investment portfolio and fund recommendations.

Please consider my qualifications and experience:

• Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment
• Proficient skills using Microsoft Office systems, especially PowerPoint and Excel
• Previous compliance-related experience gained at a top tier financial institution, law firm and/or regulator, including experience in the investment management field
• Highly analytical with strong knowledge of financial products, and solid understanding of investment management industry and relevant EMEA regional regulations and rules
• Self-starter who is comfortable with delegation and direction setting to senior-level staff
• Experience with an asset managers compliance function
• Experience Compliance rule interpretation, authoring, syntax, and testing
• Big 4” Consultant experience preferred

I submit this application to express my sincere interest in the investment management compliance position.

Previously, I was responsible for analytics and supporting documentation to the Pension Administration Committee of Sun Life Assurance Company of Canada for the purpose of the selection and retention of investment managers and investment options for the CAPs and if necessary, the termination, and selection of new, investment managers and investment options.

Please consider my experience and qualifications for this position:

• Passionate work ethic
• Encourages teamwork and strives for excellence
• Flexibility to work outside of role as the platform grows
• Strong knowledge of foreign regulatory environments, including UCITS
• Understanding of the investment management industry and portfolio securities, such as equity, fixed income, currency, and exchange traded and OTC derivatives
• Familiarity with the firm and its products
• Experience in areas such as compliance, accounting, auditing, investment operations, a regulatory environment
• Experience with compliance-related systems and data sources

I would like to submit my application for the investment management compliance opening. Please accept this letter and the attached resume.

Previously, I was responsible for investment counselling to advisers on customised investment portfolio and fund recommendations.

My experience is an excellent fit for the list of requirements in this job:

• Experience on Investment Compliance Systems and Trading Systems preferred
• Detailed knowledge of financial markets and instruments, across a broad range of asset classes
• Advanced Excel, ideally including VBA
• Financial Services, Compliance background and experience with financial services compliance
• Experience with the business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred
• Experience of investment guideline and risk monitoring, financial markets and instruments, and analysis of market and credit risks
• Experience with systems such as Bloomberg, Charles River, and Aladdin highly desirable
• Experience gained in a large law firm or an in-house legal environment will also be considered

In response to your job posting for investment management compliance, I am including this letter and my resume for your review.

In my previous role, I was responsible for day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers;.

My experience is an excellent fit for the list of requirements in this job:

• Can apply risk assessments on a portfolio basis across risk classes
• Strong understanding of the Investment Advisers Act of 1940
• Highly analytical with strong knowledge of financial products, and solid understanding of investment management industry and relevant SEC rules and regulations
• Business minded/conscious
• Deep understanding of the rules, regulations, and legal requirements of the SEC’s Investment Company Act of 1940 and the Investment Advisers Act of 1940, FINRA regulations
• Proficiency in examination principles and practices for the securities industry
• Knowledge of operational matters within a registered adviser, mutual fund complex, fund accounting group and custodian bank
• Highly analytical with strong knowledge of financial products, and solid understanding of investment management industry and relevant US and regional regulations and rules

I would like to submit my application for the investment management compliance opening. Please accept this letter and the attached resume.

In my previous role, I was responsible for research and recommendations to clients with respect to the identification, selection and monitoring of funds, investment strategies, and other investment advisers.

Please consider my experience and qualifications for this position:

• Highly analytical with strong understanding of investment management industry and knowledge of regulations and rules in Asia
• Experience in investment guidelines compliance with good technical knowledge of trade surveillance systems and understanding of financial instruments across various asset classes is advantageous
• Strong experience in successfully structuring and managing projects
• Experience in providing advice and assurance on compliance topics, including in the areas of customer conduct, financial crime, anti-bribery & anti-corruption, information management, insider dealing antitrust/competition law within the insurance industry
• Very good understanding of the commercial / corporate insurance and investment management businesses and mergers & acquisitions or similar transactions
• Very good knowledge of insurance and/or financial services regulation
• Highly self-driven, structured and analytical personality
• Strong English written and spoken language skills (C1-C2), German, French and/or Italian is of advantage