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For Companies At a Glance
- Tasks: Join us to monitor compliance and conduct trade surveillance in a dynamic environment.
- Company: We're a boutique firm in the heart of London, specialising in AIFs and UCITS.
- Benefits: Enjoy flexible working options, including potential part-time roles and a vibrant workplace culture.
- Why this job: Be part of a crucial team ensuring market integrity while developing your compliance skills.
- Qualifications: Two years of buy-side compliance experience is essential; knowledge of AIFMs and UCITS is a plus.
- Other info: This role offers a unique opportunity to grow within a supportive and innovative firm.
The predicted salary is between 48000 - 72000 £ per year.
Our client is a boutique firm whose underlying funds are AIFs and UCITS. It is based in the City of London. This role is broad and combines regular compliance monitoring, together with ongoing market abuse and trade surveillance.
Key Responsibilities
- Compliance monitoring
- Thematic reviews
- Trade surveillance
- Communications surveillance
- Managing pre and post trade investment restrictions
Qualifications
- At least two years of buy-side compliance experience
- Compliance monitoring
- Trade surveillance
- Knowledge of AIFMs and UCITS preferable
Please note the client may also consider a part-time role should this appeal.
Senior Compliance Associate - Quant Fund employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Associate - Quant Fund
✨Tip Number 1
Familiarise yourself with the specific regulations surrounding AIFs and UCITS. Understanding these frameworks will not only help you in interviews but also demonstrate your commitment to compliance in the investment sector.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in boutique firms or have experience with trade surveillance. Engaging with industry contacts can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Stay updated on the latest trends and challenges in compliance monitoring and market abuse. Being knowledgeable about current issues will allow you to speak confidently about how you can contribute to the firm's compliance efforts.
✨Tip Number 4
Consider preparing examples from your previous experience that highlight your skills in compliance monitoring and trade surveillance. Real-life scenarios can effectively showcase your expertise and problem-solving abilities during discussions.
We think you need these skills to ace Senior Compliance Associate - Quant Fund
Some tips for your application 🫡
Understand the Role: Familiarise yourself with the responsibilities of a Senior Compliance Associate, especially in compliance monitoring and trade surveillance. Tailor your application to highlight relevant experience in these areas.
Highlight Relevant Experience: Make sure to emphasise your buy-side compliance experience, particularly any work related to AIFs and UCITS. Use specific examples from your past roles to demonstrate your expertise.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your passion for compliance and your understanding of market abuse and trade surveillance. Mention why you are interested in this boutique firm and how you can contribute to their success.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Austin Andrew
✨Know Your Compliance Basics
Make sure you have a solid understanding of compliance monitoring and trade surveillance. Brush up on the specifics of AIFs and UCITS, as this knowledge will be crucial in demonstrating your expertise during the interview.
✨Prepare for Scenario Questions
Expect to be asked about real-life scenarios related to compliance issues. Think of examples from your previous experience where you successfully navigated compliance challenges, and be ready to discuss your thought process and outcomes.
✨Showcase Your Analytical Skills
Since the role involves thematic reviews and market abuse surveillance, highlight your analytical skills. Be prepared to discuss how you approach data analysis and what tools or methods you use to identify potential compliance risks.
✨Ask Insightful Questions
At the end of the interview, ask questions that show your interest in the firm's compliance culture and practices. Inquire about their approach to ongoing training and development in compliance, which can demonstrate your commitment to continuous improvement.
