At a Glance
- Tasks: Monitor compliance and AML frameworks while collaborating with business teams.
- Company: Dynamic investment management firm focused on compliance excellence.
- Benefits: Gain valuable experience in a fast-paced environment with growth opportunities.
- Other info: Autonomous role with a focus on technology and analytics in compliance.
- Why this job: Make a real impact in compliance and asset management while developing your skills.
- Qualifications: Degree in Law, Finance or Risk Management; 1-2 years of compliance experience required.
The predicted salary is between 40000 - 50000 £ per year.
Key responsibility for maintaining the compliance and AML framework. This is a busy and business facing role requiring a degree of autonomy, within a successful and dynamic investment management business. Working in partnership with the business teams and senior management in each office.
Key Responsibilities:
- Compliance monitoring: Undertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implemented.
- Assist in continuous development of compliance monitoring programme, leveraging the use of technology and analytics.
- Maintain the compliance monitoring programme.
- KYC and sanctions: Conduct KYC and sanctions screening.
- Coordinate and conduct initial and periodic AML checks on clients and deal counterparties.
- Draft reports to the Board and the Global AML Committee on AML issues.
- SMCR: Maintain the register of Certified Persons.
- Administer and oversee the annual certification process.
- Oversee the prompt and proper creation and maintenance of key SMCR documentation.
- Compliance Framework: Assist with the implementation of new FCA rules & UK regulatory requirements.
- Assist in drafting the FCA returns.
- Assist in drafting the periodic reports to the Board.
- Maintain key documents, policies and procedures, databases and registers.
- Advice and Training: Provide advice on policies and procedures to colleagues from investment management, asset management and other departments.
- Respond to questions relating to compliance systems and assist in resolution of technical queries.
- Assist in development and delivery of compliance training.
Required Qualifications & Experience:
- Degree in Law, Finance or Risk Management.
- 1-2 years of experience in compliance from an asset manager is essential - please only apply if you meet this criteria.
Compliance Analyst - Asset Management in Cardiff employer: Austin Andrew
As a Compliance Analyst in our dynamic investment management firm, you will thrive in a collaborative environment that values autonomy and innovation. We offer a supportive work culture with ample opportunities for professional growth, including access to ongoing training and development programmes. Located in a vibrant financial hub, our company not only prioritises compliance excellence but also fosters a sense of community among employees, making it an exceptional place to build a rewarding career.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Analyst - Asset Management in Cardiff
✨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 Austin Andrew looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Analyst - Asset Management in Cardiff
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 Austin Andrew. 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 Austin Andrew
✨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 Austin Andrew’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
