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- Tasks: Ensure compliance with FCA rules and provide expert advice to internal teams.
- Company: Join a leading global asset management firm in the heart of London.
- Benefits: Enjoy hybrid working, a strong pension plan, and tuition reimbursement.
- Why this job: Advance your career in a multinational organisation with significant growth opportunities.
- Qualifications: 5+ years in financial services compliance, ideally in asset management.
- Other info: Work closely with stakeholders and manage complex compliance matters.
The predicted salary is between 48000 - 84000 £ per year.
An exciting opportunity has arisen for an experienced Senior Regulatory Compliance Officer to join a leading global asset management company based in the City of London. As part of the compliance team, you will play a pivotal role in ensuring that the firm adheres to all relevant regulatory frameworks, including FCA rules and Market Abuse regulations, while interacting with both internal and external stakeholders. This is a fantastic opportunity to advance your career within a multinational organisation, reporting directly to the Deputy Head of Compliance.
Key Responsibilities:
- Regulatory Compliance: Ensure that the company complies with all relevant regulatory requirements, including FCA rules, guidance, and SMCR regulations.
- Advisory Role: Provide expert compliance advice to internal teams on matters related to asset management, regulatory requirements, and operational procedures.
- Stakeholder Engagement: Liaise with key internal and external stakeholders to ensure compliance with applicable regulatory standards and assist with any regulatory reporting or investigations.
- Regulatory Reporting: Develop and manage regulatory reporting processes in line with FCA guidelines and industry standards.
- Policy and Procedure Review: Maintain a strong understanding of internal compliance policies and procedures, ensuring they align with external regulatory developments.
- Risk Management: Assist in identifying, assessing, and mitigating compliance risks across the organisation.
Skills & Qualifications:
- Experience: Minimum of 5 years' experience in financial services compliance, specifically within the asset management sector.
- Advisory Expertise: Proven experience in providing compliance advisory services within the asset management sector, ideally in multinational organisations.
- Regulatory Knowledge: Strong knowledge of FCA rules and guidance, Market Abuse regulations, and the Senior Managers and Certification Regime (SMCR).
- Communication: Excellent interpersonal and communication skills, with the ability to engage with stakeholders at all levels.
- Attention to Detail: Strong analytical and organisational skills, with the ability to manage complex compliance matters effectively.
- Qualifications: Relevant compliance or financial services qualifications would be a plus.
What’s On Offer:
- Competitive Salary: A competitive salary package based on experience.
- Hybrid Working: Flexibility to work from home for up to 2 days a week.
- Benefits: A strong pension plan, excellent work-life balance, and tuition reimbursement to support your career development.
- Career Progression: Opportunity to grow within a global organisation with significant opportunities for professional development and career advancement.
How to Apply: Please submit your CV to ollie.white@greshamhunt.com
Senior Regulatory Compliance Specialist employer: Gresham Hunt
Contact Detail:
Gresham Hunt Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Regulatory Compliance Specialist
✨Tip Number 1
Network with professionals in the asset management sector, especially those who have experience in regulatory compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the latest FCA rules and Market Abuse regulations. Consider joining relevant online forums or groups where compliance professionals discuss updates and share insights, which can help you stay informed and demonstrate your knowledge during interviews.
✨Tip Number 3
Prepare for interviews by practising how to articulate your advisory experience clearly. Be ready to discuss specific examples of how you've provided compliance advice in previous roles, particularly in relation to asset management and regulatory frameworks.
✨Tip Number 4
Research the company’s compliance culture and recent regulatory challenges they may have faced. This will not only help you tailor your responses during interviews but also show your genuine interest in the role and the organisation.
We think you need these skills to ace Senior Regulatory Compliance Specialist
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Senior Regulatory Compliance Specialist position. Make sure you understand the key responsibilities and required skills, as this will help you tailor your application.
Tailor Your CV: Customise your CV to highlight relevant experience in regulatory compliance, particularly within asset management. Use specific examples that demonstrate your expertise in FCA rules and stakeholder engagement.
Craft a Compelling Cover Letter: Write a cover letter that addresses why you are a great fit for the role. Mention your experience with compliance advisory services and your understanding of regulatory frameworks, making sure to connect your skills to the company's needs.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Gresham Hunt
✨Know Your Regulations
Make sure you have a solid understanding of FCA rules, Market Abuse regulations, and the Senior Managers and Certification Regime (SMCR). Be prepared to discuss how these regulations impact the asset management sector and provide examples from your experience.
✨Showcase Your Advisory Skills
Highlight your experience in providing compliance advice. Prepare specific scenarios where you've successfully guided internal teams on regulatory matters, demonstrating your ability to communicate complex information clearly.
✨Engage with Stakeholders
Since stakeholder engagement is key in this role, think of examples where you've effectively liaised with both internal and external parties. Be ready to discuss how you managed those relationships and ensured compliance standards were met.
✨Demonstrate Attention to Detail
Prepare to showcase your analytical skills by discussing how you've identified and mitigated compliance risks in previous roles. Use specific examples to illustrate your organisational abilities and attention to detail in managing compliance matters.
