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- Tasks: Ensure compliance and AML frameworks are maintained in a dynamic investment management environment.
- Company: Join a successful investment management firm with a focus on innovation and teamwork.
- Benefits: Full-time role with competitive salary and opportunities for professional growth.
- Why this job: Make a real impact by ensuring compliance and working closely with senior management.
- Qualifications: Degree in Law, Finance or Risk Management; 2 years of compliance experience required.
- Other info: Fast-paced role with autonomy and the chance to develop your skills in a supportive team.
The predicted salary is between 36000 - 60000 £ per year.
Direct message the job poster from Austin Andrew
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
- 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
- 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
- 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
- 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
- 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
- A minimum of 2 years of experience in compliance from an asset manager is essential – please only apply if you meet this criteria
Seniority level
Associate
Employment type
Full-time
Job function
Analyst
Industries
Investment Management
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Compliance Analyst - Asset Management employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst - Asset Management
✨Tip Number 1
Don't just sit back and wait for the job to come to you! Reach out directly to the job poster, like Austin Andrew, via LinkedIn or email. A friendly message can make you stand out and show your enthusiasm for the role.
✨Tip Number 2
Network, network, network! Connect with professionals in the asset management field. Attend industry events or webinars to meet people who might help you land that Compliance Analyst position. We all know it's not just about what you know, but who you know!
✨Tip Number 3
Prepare for interviews by brushing up on compliance regulations and AML frameworks. Be ready to discuss how you've implemented compliance measures in past roles. We want you to showcase your expertise and confidence!
✨Tip Number 4
Apply through our website for a smoother process! It shows you're serious about the role and gives us a chance to see your application in the best light. Plus, we love seeing candidates who take that extra step!
We think you need these skills to ace Compliance Analyst - Asset Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Analyst role. Highlight your experience in compliance, especially in asset management, and showcase any relevant qualifications. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can benefit us at StudySmarter. Keep it concise but impactful – we love a good story!
Showcase Your Analytical Skills: Since this role involves a lot of monitoring and reporting, make sure to highlight your analytical skills in your application. Share examples of how you've used technology and analytics in previous roles to improve compliance processes.
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 shows you’re keen on joining our team!
How to prepare for a job interview at Austin Andrew
✨Know Your Compliance Stuff
Make sure you brush up on compliance regulations, especially those related to asset management. Familiarise yourself with KYC, AML, and FCA rules, as these will likely come up in conversation. Showing that you understand the nuances of these regulations will impress the interviewers.
✨Showcase Your Analytical Skills
Since this role involves leveraging technology and analytics, be prepared to discuss your experience with data analysis tools or software. Bring examples of how you've used analytics in past roles to improve compliance processes or monitor risks effectively.
✨Prepare for Scenario Questions
Expect scenario-based questions where you'll need to demonstrate your problem-solving skills. Think about past experiences where you had to make compliance recommendations or handle a tricky situation. Use the STAR method (Situation, Task, Action, Result) to structure your answers.
✨Engage with the Business Side
This role is business-facing, so show that you can communicate compliance matters effectively to non-compliance colleagues. Prepare to discuss how you've collaborated with different teams in the past and how you can bridge the gap between compliance and business objectives.
