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- Tasks: Lead compliance efforts, support trade reviews, and assist with regulatory filings.
- Company: Join a top global asset manager known for excellence and social impact.
- Benefits: Enjoy flexible work options and the chance to make a real difference.
- Why this job: Be part of a mission-driven team impacting justice and human rights globally.
- Qualifications: Bachelor’s degree and 3+ years in asset management or hedge fund compliance required.
- Other info: Opportunity to collaborate with teams in London, New York, and Ireland.
The predicted salary is between 48000 - 72000 £ per year.
Our client is a leading global asset manager and family office with a long-standing history and a reputation for excellence in both investment performance and social impact. Managing approximately $28 billion in assets, the firm serves as the principal investment manager for one of the world’s largest charitable foundations, supporting initiatives that promote justice, human rights, and democratic values globally.
The firm is expanding its UK operations and is seeking a Compliance professional who can take a lead role locally while also providing support to its Ireland and US offices as needed.
- Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York.
- Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm’s order management and other systems/tools to exercise this responsibility.
- Help with the EU and UK regulatory filings and disclosures.
- Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications.
- Assist the Compliance Officer to educate and train employees on compliance issues and industry developments.
- Be a resource to business groups to resolve compliance issues in accordance with firm policies.
- Flexibility to provide ad hoc compliance coverage to the firm’s NY office when resources are needed.
Bachelor’s degree or higher, ~3+ years of experience in asset management or hedge fund compliance, ~ Knowledge and experience with a broad range of instruments and asset classes.
Compliance Officer - Policy and Regulatory employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Policy and Regulatory
✨Tip Number 1
Network with professionals in the compliance and asset management sectors. Attend industry events, webinars, or local meetups to connect with people who work in similar roles. This can help you gain insights into the company culture and potentially get a referral.
✨Tip Number 2
Stay updated on the latest EU and UK regulatory changes that impact asset management. Being knowledgeable about current regulations will not only prepare you for interviews but also demonstrate your commitment to the role and the industry.
✨Tip Number 3
Familiarise yourself with the specific compliance tools and systems used in the industry, such as order management systems. Highlight any experience you have with these tools during networking conversations or interviews to show your readiness for the role.
✨Tip Number 4
Prepare to discuss how you've handled compliance issues in the past. Think of specific examples where you resolved conflicts or educated teams on compliance matters, as this will showcase your problem-solving skills and ability to communicate effectively.
We think you need these skills to ace Compliance Officer - Policy and Regulatory
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the Compliance Officer position. Understand the key responsibilities and required qualifications, as this will help you tailor your application to highlight relevant experience.
Highlight Relevant Experience: In your CV and cover letter, emphasise your experience in asset management or hedge fund compliance. Be specific about your previous roles and how they relate to the responsibilities outlined in the job description.
Showcase Your Skills: Make sure to include any specific skills that are relevant to the role, such as knowledge of EU regulatory obligations, trade compliance support, and experience with compliance programs. Use concrete examples to demonstrate these skills.
Craft a Compelling Cover Letter: Write a personalised cover letter that connects your background to the firm's mission and values. Mention your interest in social impact and how your compliance expertise can contribute to their initiatives.
How to prepare for a job interview at ETRA Talent
✨Know Your Regulations
Familiarise yourself with the key EU and UK regulatory obligations relevant to asset management. Be prepared to discuss how these regulations impact compliance practices and how you can ensure adherence within the firm.
✨Demonstrate Your Experience
Highlight your previous experience in compliance, particularly in asset management or hedge funds. Use specific examples to illustrate how you've successfully navigated compliance challenges and contributed to a firm's compliance programme.
✨Showcase Your Communication Skills
As a Compliance Officer, you'll need to educate and train employees on compliance issues. Be ready to demonstrate your ability to communicate complex regulatory concepts clearly and effectively during the interview.
✨Be Ready for Scenario Questions
Prepare for scenario-based questions that assess your problem-solving skills in compliance situations. Think about how you would handle potential compliance breaches or conflicts of interest, and be ready to explain your thought process.
