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- Tasks: Ensure compliance with FCA rules and provide expert advice to internal teams.
- Company: Join a leading global asset management company 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 3 days in the office and 2 days from home.
The predicted salary is between 52000 - 78000 £ 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.
Senior Regulatory Compliance Officer employer: London, United Kingdom
Contact Detail:
London, United Kingdom Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Regulatory Compliance Officer
✨Tip Number 1
Network with professionals in the asset management sector. Attend industry events or webinars where you can meet compliance officers and learn about their experiences. This can provide valuable insights and potentially lead to referrals.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you're well-informed, which will help you stand out during interviews.
✨Tip Number 3
Prepare for potential interview questions by practising your responses to common compliance scenarios. Think about how you would handle specific regulatory challenges and be ready to discuss your past experiences in detail.
✨Tip Number 4
Demonstrate your stakeholder engagement skills by preparing examples of how you've successfully liaised with internal and external parties in previous roles. Highlight your communication strategies and the outcomes of those interactions.
We think you need these skills to ace Senior Regulatory Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in regulatory compliance, particularly within the asset management sector. Use specific examples that demonstrate your knowledge of FCA rules and Market Abuse regulations.
Craft a Compelling Cover Letter: Write a cover letter that clearly outlines your motivation for applying to this role. Emphasise your advisory expertise and how your skills align with the key responsibilities mentioned in the job description.
Showcase Your Communication Skills: In both your CV and cover letter, highlight your excellent interpersonal and communication skills. Provide examples of how you've successfully engaged with stakeholders at various levels in previous roles.
Highlight Relevant Qualifications: If you have any compliance or financial services qualifications, make sure to mention them prominently. This can set you apart from other candidates and show your commitment to professional development.
How to prepare for a job interview at London, United Kingdom
✨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 of how you've navigated compliance challenges in the past.
✨Showcase Your Advisory Skills
Highlight your experience in providing compliance advice to internal teams. Prepare specific examples where your guidance led to improved compliance or operational procedures, demonstrating your ability to communicate complex regulatory requirements effectively.
✨Engage with Stakeholders
Since stakeholder engagement is key in this role, think of instances where you've successfully liaised with both internal and external parties. Be ready to discuss how you managed relationships and ensured compliance standards were met across different teams.
✨Demonstrate Attention to Detail
Prepare to discuss how your analytical skills have helped you manage complex compliance matters. Bring examples that showcase your organisational abilities and how you've identified and mitigated compliance risks in previous roles.
