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- Tasks: Support compliance monitoring, review policies, and assist with audits in a dynamic environment.
- Company: Join a growing wealth management firm offering diverse financial services.
- Benefits: Gain valuable experience in compliance with potential for career growth and development.
- Why this job: Be part of a team that ensures client satisfaction and regulatory adherence while enhancing your skills.
- Qualifications: Previous compliance experience and knowledge of MIFID II, UCITS, and AML required.
- Other info: Ideal for proactive self-starters looking to thrive in a fast-paced setting.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.
THE RESPONSIBILITIES:
- Assist with compliance monitoring activities, recording evidence, reporting findings and proposing enhancements where appropriate.
- Review compliance policies and ensuring these are regularly updated.
- Provide input into fund compliance projects as required.
- Review breaches and operational errors, liaising with the Management Company to ensure satisfactory resolutions.
- Monitor PA dealing requests and Gifts and Entertainment.
- Review and approve financial promotions.
- Assist the team in the preparation of management information for Committee and Board reports.
- Assist the team in due diligence requests and audits.
- Support the SMF16/17 and carry out any other duties as may reasonably be required.
- Adherence to consumer duty and ensuring good client outcomes.
EXPERIENCE REQUIRED:
- Previous compliance experience in a Fund Administration, Management Company or Asset Management environment necessary.
- Experience of performing monitoring activities, audits or other forms of reviews.
- The candidate is expected to have good knowledge in the following subjects: MIFID II, UCITS and AIFMD requirements, AML and financial crime, fund and product governance, systems and controls, conflicts of Interest, consumer duty.
- Candidates must have a high level of attention to detail.
- A proactive self-starter with the ability to work effectively in a busy and evolving environment.
- Preferably an IMC holder or relevant CISI Compliance exams achieved.
For further information please contact Duncan Jeffery.
Compliance Associate – Asset Management employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate – Asset Management
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance frameworks relevant to asset management, such as MIFID II and AIFMD. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly evolving field.
✨Tip Number 2
Network with professionals in the compliance and asset management sectors. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities within their firms.
✨Tip Number 3
Prepare to discuss specific examples of your previous compliance experience, particularly any monitoring activities or audits you've conducted. Being able to articulate your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Showcase your attention to detail by preparing questions about the company's compliance processes during your interview. This not only demonstrates your interest but also gives you a chance to highlight your proactive approach to compliance.
We think you need these skills to ace Compliance Associate – Asset Management
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Associate in Asset Management. Familiarise yourself with compliance monitoring activities, AML regulations, and the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your previous compliance experience, especially in Fund Administration or Asset Management. Emphasise your knowledge of MIFID II, UCITS, and AIFMD requirements, as well as any relevant qualifications like the IMC or CISI Compliance exams.
Craft a Strong Cover Letter: In your cover letter, explain why you are a good fit for the role. Mention specific experiences that demonstrate your attention to detail and proactive approach. Relate your skills to the responsibilities outlined in the job description.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter. Ensure there are no spelling or grammatical errors, and that all information is accurate. A polished application reflects your attention to detail, which is crucial for this role.
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Regulations
Familiarise yourself with key regulations such as MIFID II, UCITS, and AIFMD. Be prepared to discuss how these regulations impact the role of a Compliance Associate in asset management.
✨Demonstrate Attention to Detail
Since the role requires a high level of attention to detail, be ready to provide examples from your past experience where your meticulousness made a difference, especially in compliance monitoring or audits.
✨Show Proactivity and Initiative
Highlight instances where you took the initiative to improve compliance processes or resolve issues. This will showcase your proactive nature, which is essential for thriving in a busy environment.
✨Prepare for Scenario-Based Questions
Expect questions that present hypothetical compliance scenarios. Practice articulating your thought process on how you would handle breaches, operational errors, or compliance monitoring activities.
