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- Tasks: Join our team as a Compliance Associate and support compliance programs and projects.
- Company: We're a leading institutional commodities broker located in the heart of the city.
- Benefits: Enjoy a dynamic work environment with opportunities for training and professional growth.
- Why this job: Make an impact by ensuring compliance standards while collaborating with global teams.
- Qualifications: Looking for candidates with a passion for compliance and strong communication skills.
- Other info: This role offers a chance to learn and grow in a fast-paced industry.
The predicted salary is between 28800 - 42000 £ 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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Compliance Associate employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate
✨Tip Number 1
Familiarize yourself with the latest regulations and compliance standards relevant to the commodities sector. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a fast-paced environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in commodities. Attend industry events or webinars to connect with potential colleagues and learn about the challenges they face, which can give you insights to discuss during your interview.
✨Tip Number 3
Prepare to discuss specific examples of how you've contributed to compliance projects in the past. Highlight your ability to translate complex compliance requirements into practical solutions that align with business objectives.
✨Tip Number 4
Showcase your communication skills by practicing how to explain compliance concepts in simple terms. This is crucial for the role, as you'll need to interact with various teams and stakeholders who may not have a compliance background.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Understand the Role: Make sure you fully understand the responsibilities of a Compliance Associate. Familiarize yourself with compliance regulations, AML, ABC, and FCA obligations to demonstrate your knowledge in your application.
Tailor Your CV: Customize your CV to highlight relevant experience in compliance, particularly any work related to policy review, stakeholder communication, or regulatory compliance. Use specific examples that showcase your expertise.
Craft a Strong Cover Letter: Write a compelling cover letter that explains why you are a great fit for the role. Mention your ability to translate compliance requirements into commercial language and your experience with compliance projects.
Highlight Team Collaboration: Emphasize your experience working collaboratively with different teams. Mention any instances where you supported global offices or worked with trading, operations, or finance teams to ensure compliance standards.
How to prepare for a job interview at Compliance Professionals
✨Understand Compliance Regulations
Make sure you have a solid understanding of compliance regulations relevant to the role, such as AML, ABC, and data protection. Be prepared to discuss how these regulations impact the business and how you can contribute to maintaining compliance.
✨Showcase Your Communication Skills
Since the role involves communicating with various stakeholders, practice articulating complex compliance concepts in simple terms. Highlight any previous experiences where you successfully translated compliance requirements into actionable insights for non-compliance teams.
✨Demonstrate Problem-Solving Abilities
Be ready to discuss specific examples of how you've identified compliance issues in the past and the steps you took to resolve them. This will show your proactive approach and ability to contribute to compliance projects effectively.
✨Prepare Questions for the Interviewers
Think of insightful questions to ask during the interview about the company's compliance culture and ongoing projects. This shows your genuine interest in the role and helps you assess if the company is the right fit for you.
