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- Tasks: Monitor compliance, conduct trade surveillance, and manage investment restrictions.
- Company: Dynamic investment management firm focused on compliance excellence.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Why this job: Join a vital role in ensuring market integrity and compliance.
- Qualifications: Minimum two years in buy-side compliance is essential.
- Other info: Opportunity to work on diverse projects in a fast-paced setting.
The predicted salary is between 36000 - 60000 £ per year.
This role is very broad. It combines regular compliance monitoring, ongoing market abuse trade surveillance, investment limit monitoring, communications surveillance with in-depth and thematic reviews and ad hoc projects.
Key Responsibilities:
- General Compliance Monitoring
- Thematic Reviews
- Trade Surveillance
- Communications Surveillance
- Co-managing pre-and post-trade investment restriction rules
Requirements:
- Minimum of two years experience in buy-side compliance is ESSENTIAL
- Please only apply if you have this experience, or close to it
- The following experience is beneficial: General compliance monitoring experience
Compliance Associate - Investment Management in London employer: Anonymous
Contact Detail:
Anonymous Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate - Investment Management in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management field. We all know that sometimes it’s not just what you know, but who you know. Attend industry events or webinars to meet potential employers and make a lasting impression.
✨Tip Number 2
Prepare for those interviews! Research common compliance scenarios and be ready to discuss how you’d handle them. We want you to showcase your experience in buy-side compliance, so think of examples that highlight your skills in trade surveillance and monitoring.
✨Tip Number 3
Follow up after interviews! A quick thank-you email can go a long way. We suggest mentioning something specific from your conversation to remind them of your fit for the Compliance Associate role. It shows you’re genuinely interested and keeps you on their radar.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities waiting for you. By applying directly, you’ll ensure your application gets the attention it deserves, especially for roles like Compliance Associate where your experience is key.
We think you need these skills to ace Compliance Associate - Investment Management in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in buy-side compliance. We want to see how your skills match the job description, so don’t be shy about showcasing relevant projects or responsibilities you've handled.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the Compliance Associate role. We love seeing enthusiasm and a clear understanding of the responsibilities involved.
Showcase Your Experience: Since we’re looking for at least two years of experience, make sure to detail your previous roles in compliance monitoring and trade surveillance. We want to know what you’ve done and how it relates to what we do!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy!
How to prepare for a job interview at Anonymous
✨Know Your Compliance Basics
Make sure you brush up on the fundamentals of compliance monitoring and trade surveillance. Familiarise yourself with key regulations and practices in investment management, as this will show your interviewer that you’re not just experienced but also genuinely interested in the field.
✨Prepare for Scenario Questions
Expect to be asked about specific scenarios related to compliance issues. Think of examples from your past experience where you successfully navigated compliance challenges. This will help demonstrate your problem-solving skills and practical knowledge.
✨Showcase Your Analytical Skills
Since the role involves thematic reviews and ad hoc projects, be ready to discuss how you approach analysis and decision-making. Bring examples of how you've used data to inform compliance strategies or improve processes in your previous roles.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions. Inquire about the company’s approach to compliance monitoring or recent challenges they’ve faced. This shows your enthusiasm for the role and helps you gauge if the company is the right fit for you.
