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- Tasks: Join us as a Compliance Associate, managing financial promotions and investor due diligence.
- Company: We're a specialist Real Estate Investment firm, thriving in a dynamic environment.
- Benefits: Enjoy flexible working options and corporate perks that enhance your work-life balance.
- Why this job: Be part of a proactive team, making a real impact in compliance and governance.
- Qualifications: 4+ years in compliance, strong IT skills, and a solid grasp of UK regulations required.
- Other info: Opportunity to work with cutting-edge AI software and support exciting projects.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: Our client is a specialist Real Estate Investment firm. This is a generalist role but candidates must have exposure to Financial Promotions.
THE RESPONSIBILITIES:
- Responsible for social media/LinkedIn reviews
- Support/manage review of Financial Promotion and other marketing presentations/materials
- Manage ongoing investor/key supplier due-diligence requirements via AI Software
- Manage monthly and ad hoc investor sanctions checks (via sanctions software)
- Support/manage periodic FCA filings: FCA Regdata (quarterly/annually); and FCA Connect (ad hoc)
- Assisting with SM&CR requirements, including management of AR firm regime obligations
- Assisting in preparation of training material relevant to key regulatory updates
- Supporting with insurance renewals at Corporate/Fund level
- Support on maintaining an effective compliance programme
- Assisting with the completion and collation of: Employee Certification Forms (annual); and Code of Ethics (Personal Account Dealing) (quarterly)
- Maintain Conflicts Register/Log and related documentation
- Collation of documents/information to support quarterly and annual UK/US regulatory filings
- Management of Compliance Calendar and follow through on actions required by team
- Support on annual review of firm’s compliance policies, as part of Annual Chief Compliance Officer Report
- Support in the completion of ad hoc Investor due diligence questionnaire (DDQ) and operational due diligence (ODD) requests
- Support on maintaining firms\’ governance committee Terms of Reference
- Assist with ad hoc projects and tasks, as required
EXPERIENCE REQUIRED:
- This is an exciting role within a firm operating in a dynamic, fast paced environment. The ideal candidate should be a committed, proactive and motivated individual, with excellent organisational and communication skills.
- The ability to prioritise and manage deadlines is essential, as is the need for strong IT skills; MS Word and Excel, whilst working knowledge of MS PowerPoint and Visio (workflows) would be beneficial.
- The candidate should have strong experience (minimum 4 years) experience, ideally within a similar fund/investment management firm type, demonstrating a solid understanding of the UK regulatory regime, which provides a good foundation across all aspects of general compliance obligations.
- Some knowledge of US SEC obligations would be beneficial but not mandatory.
For further information please contact Spencer Evans.
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Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate
✨Tip Number 1
Familiarise yourself with the UK regulatory regime and any recent updates. This will not only help you understand the compliance landscape but also demonstrate your commitment to staying informed during interviews.
✨Tip Number 2
Network with professionals in the real estate investment sector, especially those involved in compliance. Engaging with them on platforms like LinkedIn can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Showcase your organisational skills by preparing a mock compliance calendar or a sample of how you would manage due diligence requirements. This practical demonstration can set you apart from other candidates.
✨Tip Number 4
Brush up on your IT skills, particularly in MS Excel and PowerPoint. Being able to present data effectively and manage compliance documentation digitally is crucial for this role.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly with financial promotions and regulatory obligations. Use specific examples that demonstrate your understanding of the UK regulatory regime.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention your proactive approach and organisational skills, and how they align with the responsibilities outlined in the job description.
Highlight Relevant Skills: Emphasise your IT skills, especially in MS Word, Excel, and any experience with compliance software. If you have knowledge of US SEC obligations, be sure to mention it as an added advantage.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you have a solid understanding of the UK regulatory regime, especially around Financial Promotions. Brush up on any recent changes or updates that might be relevant to the role.
✨Showcase Your Organisational Skills
Prepare examples that demonstrate your ability to manage multiple tasks and deadlines effectively. Highlight any experience you have with compliance calendars or managing documentation.
✨Familiarise Yourself with AI Software
Since the role involves managing due diligence requirements via AI software, it’s beneficial to have a basic understanding of how such tools work. If you’ve used similar software before, be ready to discuss your experience.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Think about past experiences where you had to navigate complex compliance issues and be ready to share those stories.
