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- Tasks: Lead compliance for asset management clients and conduct monitoring reviews.
- Company: Successful compliance consultancy with a focus on asset management.
- Benefits: Hybrid working, competitive salary, and opportunities for professional growth.
- Other info: Flexible working environment with excellent client relationship building opportunities.
- Why this job: Join a dynamic team and make a real impact in compliance consultancy.
- Qualifications: Experience in compliance or asset management and strong communication skills.
The predicted salary is between 60000 - 80000 £ per year.
The firm is a very successful compliance consultancy. Whilst most of its asset management clients are FCA regulated, an ever-increasing number are SEC and NFA/CFTC.
Responsibilities include, but are not limited to:
- Primary compliance resource for a number of clients
- Leading monitoring reviews both on-site and remotely
- Implementation of policies as applicable
- Assisting with background screening checks as necessary and liaising with the FCA
- Provision of compliance training, both on-site and remotely
- Providing compliance advice
- Review and approval of financial promotion materials
- Updating on regulatory change and how it impacts their business
- Providing support to senior managers where required
- Building and developing client relationships
Key Skills / Experience
- Experience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCA
- Thorough knowledge of the FCA Handbook
- Experience of compliance monitoring or similar
- Excellent customer service ethos
- Ability to implement regulatory solutions to address compliance needs
- Strong client facing ability
- Excellent verbal and written communication skills
- Ability to multi-task
- Degree educated or similar
- Must hold the right to work in the UK
- Hybrid working is available although flexibility is a must
Compliance Consultancy - Asset Management Experience Essential employer: Anonymous
Contact Detail:
Anonymous Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultancy - Asset Management Experience Essential
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and asset management sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook and current regulatory changes. We want you to be the go-to person for compliance advice, so show off your expertise!
✨Tip Number 3
Practice your client-facing skills. Role-play scenarios where you provide compliance training or advice. This will help you feel more confident when it comes to building those all-important client relationships.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Consultancy - Asset Management Experience Essential
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role. Highlight your experience in compliance and asset management, and don’t forget to mention any relevant qualifications or training. We want to see how your background aligns with what we’re looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance consultancy and how your skills can benefit our clients. Keep it concise but engaging – we love a good story!
Showcase Your Communication Skills: Since excellent verbal and written communication skills are key for this role, make sure your application reflects that. Use clear language and structure your application well. We appreciate clarity and professionalism!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Let’s get started on this journey together!
How to prepare for a job interview at Anonymous
✨Know Your Regulations
Make sure you brush up on the FCA Handbook and any relevant regulations before your interview. Being able to discuss specific compliance issues and how they relate to asset management will show that you're not just familiar with the basics, but that you understand the nuances of the role.
✨Showcase Your Client-Facing Skills
Since this role involves building and developing client relationships, prepare examples from your past experiences where you've successfully managed client interactions. Highlight your excellent customer service ethos and how you've implemented regulatory solutions to meet client needs.
✨Demonstrate Your Multi-Tasking Ability
In a compliance consultancy, you'll often juggle multiple responsibilities. Be ready to share instances where you've effectively managed several tasks at once, especially in high-pressure situations. This will illustrate your ability to thrive in a dynamic environment.
✨Prepare for Compliance Training Scenarios
Since providing compliance training is part of the job, think about how you would approach this task. Prepare to discuss your experience in delivering training or advice, and consider how you would tailor your approach to different audiences, whether on-site or remotely.