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- Tasks: Join us as a Compliance Professional, ensuring regulatory compliance in a dynamic financial environment.
- Company: We're a leading financial services entity with offices in the US and London, focused on compliance excellence.
- Benefits: Enjoy hybrid work options, competitive pay, and flexibility for parents returning to work.
- Why this job: This role offers a chance to grow your career while making a real impact in financial compliance.
- Qualifications: Experience in financial services and familiarity with regulatory protocols are essential.
- Other info: Positions available for various skill levels, perfect for both part-time and full-time applicants.
The predicted salary is between 36000 - 60000 £ per year.
Regulatory Compliance and Financial Administrative Professionals for US and London based financial services entity. We are seeking to add to our staff and several positions are open within a variety of skill sets and experience. These include:
- Part-time and full-time positions
- Administrative through senior positions
- Most are hybrid/WFH positions.
Depending on the role applied for, past experience may include:
- Chief Compliance Officer and/or other financial regulatory licensing in either UK or US
- Financial and Operations Principals (FINOPs) with a US FINRA Series 27/28
- Familiarity with FINRA, SEC, NFA, RIA and/or FCA regulatory compliance protocols, including AML Procedures, Written Supervisory Procedures, Business Continuity Plans and various regulatory filings such as Form CRS and Reg BI a plus
- Broker-dealer, investment firm, or Registered Investment Advisory experience a plus
- Past experience in a financial services entity such as a bank, securities firm or investment advisor
For all positions, this is a client-facing role that requires being well-spoken with good telephone and writing skills. Facility with MS Office software is required.
We have an office in the United States and London and this can be a hybrid/WFH position in either location. Positions based in the UK will be on a fixed term contract to start, with a contract extension and/or future permanent employment potential for the right individual(s). Positions based in the US will primarily be WFH positions.
We are particularly cognizant of parental schedules, provided the responsibilities are carried out; this position is perfect for parents returning to the workforce with prior financial services experience.
Compliance Professional employer: Non-disclosed
Contact Detail:
Non-disclosed Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Professional
✨Tip Number 1
Familiarise yourself with the specific regulatory frameworks mentioned in the job description, such as FINRA, SEC, NFA, and FCA. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the financial services sector, especially those who have experience in compliance roles. Attend industry events or join relevant online forums to connect with potential colleagues and learn more about the company culture at StudySmarter.
✨Tip Number 3
Prepare for client-facing scenarios by practising your communication skills. Since this role requires being well-spoken, consider role-playing common compliance-related conversations to build your confidence and fluency.
✨Tip Number 4
Research StudySmarter's values and mission to align your responses during interviews. Showing that you understand our goals and how you can contribute will set you apart from other candidates.
We think you need these skills to ace Compliance Professional
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and financial services. Emphasise any roles where you dealt with regulatory compliance, particularly with UK or US regulations.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the requirements mentioned in the job description. Mention your familiarity with FINRA, SEC, NFA, RIA, and FCA protocols, and how your past experiences make you a suitable candidate.
Showcase Communication Skills: Since this is a client-facing role, demonstrate your strong writing and telephone skills in your application. Use clear and professional language throughout your CV and cover letter.
Highlight Hybrid Work Experience: If you have experience working in hybrid or remote settings, mention it. This shows your adaptability and readiness for the work environment they offer.
How to prepare for a job interview at Non-disclosed
✨Know Your Regulations
Familiarise yourself with the key regulatory bodies such as FINRA, SEC, NFA, and FCA. Be prepared to discuss how your past experiences align with their compliance protocols, especially regarding AML procedures and supervisory practices.
✨Showcase Your Communication Skills
Since this is a client-facing role, practice articulating your thoughts clearly and confidently. Prepare examples of how you've effectively communicated complex compliance issues in previous roles, both verbally and in writing.
✨Highlight Relevant Experience
Be ready to discuss your experience in financial services, particularly any roles related to compliance or regulatory licensing. If you have worked with broker-dealers or investment firms, make sure to emphasise those experiences.
✨Emphasise Flexibility and Adaptability
Given the hybrid work model, express your ability to adapt to different working environments. Share examples of how you've successfully managed your time and responsibilities in both office and remote settings.
