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- Tasks: Support the Compliance Team with various compliance activities and regulatory guidance.
- Company: Join a leading discretionary investment manager focused on compliance excellence.
- Benefits: Enjoy a dynamic work environment with opportunities for training and professional growth.
- Why this job: Be part of a team that ensures regulatory adherence and contributes to impactful decision-making.
- Qualifications: Understanding of FCA regulations and experience in fund management is essential.
- Other info: Opportunity to develop your skills in a supportive and collaborative atmosphere.
The predicted salary is between 36000 - 60000 £ per year.
My client is a discretionary investment manager
In this role you will support the Compliance Team with all generalist compliance activities
- Provision of technical advice, support & regulatory guidance
- Development & completion of the annual compliance monitoring programme
- Review and sign off of financial promotions
- Ensuring that the firm identifies any changes in law and regulation by Horizon scanning
- Review and implementation of compliance policies & procedures
- Regulatory reporting
- Administration of the Risk and Compliance Committee (incl. Risk Management Framework)
- Completion of due diligence requests
- Completion of ad hoc investigations, reviews and regulator requests for information
Answer internal Compliance related queries
Support the Compliance Team in effective decision making
Operate in line with and effectively contribute to the governance framework
Assist with the annual regulatory training & testing programme
Provide coaching & training to colleagues as required
Act as the secretary for the Risk and Compliance Committee
Regulatory skills required
Understanding of all regulatory and legal requirements affecting the business including:
- Relevant areas of the FCA Handbook
- Relevant areas of non-Handbook guidance
- Relevant legislation
- Data protection
Knowledge of fund management/investment management activities and associated regulations is essential
Compliance Analyst - Discretionary Investment Management employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst - Discretionary Investment Management
✨Tip Number 1
Familiarise yourself with the FCA Handbook and relevant legislation. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance in the investment management sector.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in discretionary investment management. Attend industry events or join online forums to gain insights and potentially get referrals for job openings.
✨Tip Number 3
Stay updated on recent changes in compliance regulations and best practices. Subscribe to relevant newsletters or follow industry leaders on social media to ensure you're well-informed during discussions with potential employers.
✨Tip Number 4
Prepare to discuss specific compliance scenarios during interviews. Think of examples where you've successfully navigated compliance challenges or contributed to policy development, as this will showcase your practical experience and problem-solving skills.
We think you need these skills to ace Compliance Analyst - Discretionary Investment Management
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Analyst in discretionary investment management. Familiarise yourself with compliance activities, regulatory guidance, and the specific skills required for the role.
Tailor Your CV: Highlight your relevant experience in compliance, particularly in investment management. Emphasise your understanding of FCA regulations, data protection laws, and any previous roles that involved risk management or compliance monitoring.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and how your background aligns with the job requirements. Mention specific experiences where you provided compliance support or developed compliance policies, showcasing your ability to contribute effectively.
Showcase Regulatory Knowledge: Demonstrate your understanding of the regulatory landscape affecting the business. Include examples of how you've kept up-to-date with changes in law and regulation, and how you've applied this knowledge in previous roles.
How to prepare for a job interview at Austin Andrew
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the FCA Handbook and relevant legislation. Be prepared to discuss how these regulations impact discretionary investment management and demonstrate your knowledge during the interview.
✨Showcase Your Compliance Experience
Highlight any previous experience you have in compliance roles, especially in investment management. Be ready to provide examples of how you've contributed to compliance monitoring programmes or handled regulatory reporting.
✨Prepare for Technical Questions
Expect technical questions related to compliance policies and procedures. Brush up on common compliance challenges and be ready to discuss how you would approach them, showcasing your problem-solving skills.
✨Demonstrate Communication Skills
As a Compliance Analyst, you'll need to communicate effectively with various stakeholders. Prepare to discuss how you've successfully communicated complex compliance issues in the past and how you can support your team in decision-making.