At a Glance
- Tasks: Lead compliance initiatives and enhance regulatory frameworks in a dynamic investment firm.
- Company: Growing international investment firm with a focus on ethical conduct.
- Benefits: Competitive salary, mentorship opportunities, and involvement in global compliance projects.
- Other info: Opportunity to mentor junior colleagues and engage in cross-border projects.
- Why this job: Make a real impact on financial crime compliance and shape the firm's governance culture.
- Qualifications: 12+ years of compliance experience in investment management and strong UK regulatory knowledge.
The predicted salary is between 72000 - 108000 £ per year.
It’s an outstanding opportunity for a seasoned compliance professional to lead and enhance the regulatory and financial crime framework of a growing international investment firm.
Responsibilities
- The role acts as SM 16/17 and AMLO, providing strategic compliance leadership and advisory across the London office.
- Ensuring a strong culture of ethical conduct and governance.
- Managing regulatory engagements, interpreting, and implementing new rules.
- Maintaining effective oversight of risk and compliance controls across business lines.
- Overseeing new product launches, cross-border projects, and ongoing improvements to policies and monitoring programs.
- As the designated officer responsible for financial crime compliance in the UK, overseeing the firm’s AML and counter-financial-crime framework.
- Reviewing high-risk relationships and ensuring appropriate due diligence and escalation processes are in place.
- Mentoring junior colleagues and playing a key role in global compliance initiatives across the organization.
Qualifications
- Not less than 12 years of compliance experience at investment managers with a strong understanding of UK regulatory frameworks.
- Exposure to US supervisory framework would be an advantage.
How to Apply
Please send your CV to Vivian Chen at vchen@ashford‑benjamin.com, or call +852 2315 9503 for a confidential discussion.
Compliance Officer – London Based – International Investment Firm employer: Ashford Benjamin Ltd.
Join a dynamic international investment firm in London, where you will not only lead compliance initiatives but also foster a culture of ethical governance and professional growth. With a commitment to employee development, this firm offers mentorship opportunities and the chance to engage in global compliance projects, all within a collaborative and supportive work environment that values integrity and innovation.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer – London Based – International Investment Firm
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Ashford Benjamin Ltd. looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Officer – London Based – International Investment Firm
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Ashford Benjamin Ltd.. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Ashford Benjamin Ltd.
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Ashford Benjamin Ltd.’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
