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- Tasks: Lead compliance for asset management clients and conduct monitoring reviews.
- Company: Successful compliance consultancy with a focus on asset management.
- Benefits: Competitive salary, professional development, and flexible working options.
- Why this job: Join a dynamic team and make a real impact in compliance consultancy.
- Qualifications: Experience in compliance or asset management and strong communication skills.
- Other info: Opportunity to build client relationships and grow your career.
The predicted salary is between 36000 - 60000 £ per year.
Job Description
Our client is a very successful compliance consultancy
Whilst most of its asset management clients are FCA regulated , an ever-increasing number are SEC and NFA/CFTC
Responsibilities include, but are not limited to:
- Primary compliance resource for a number of clients
- Leading monitoring reviews both on-site and remotely
- Implementation of policies as applicable
- Assisting with background screening checks as necessary and liaising with the FCA
- Provision of compliance training, both on-site and remotely
- Providing compliance advice
- Review and approval of financial promotion materials
- Updating on regulatory change and how it impacts their business
- Providing support to senior managers where required
- Building and developing client relationships
Key Skills / Experience
- Experience gained within a compliance or management consultancy, regulatory hosting firm, asset manager (including hedge funds, private equity, real estate and other alternatives), or a regulator such as the FCA
- Thorough knowledge of the FCA Handbook
- Experience of compliance monitoring or similar
- Excellent customer service ethos
- Ability to implement regulatory solutions to address compliance needs
- Strong client facing ability
- Excellent verbal and written communication skills
- Ability to multi-task
- Degree educated or similar
Must hold the right to work in the UK
Compliance Consultancy - Asset Management Experience Essential employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultancy - Asset Management Experience Essential
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and asset management sectors. We all know that sometimes it’s not just what you know, but who you know that can land you that dream job.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook and current regulatory changes. We want you to be the go-to person for compliance advice during those interviews!
✨Tip Number 3
Showcase your client-facing skills! During interviews, share examples of how you've built strong relationships with clients in the past. We need to see that you can connect and communicate effectively.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. We’re here to help you every step of the way in landing that compliance consultancy role.
We think you need these skills to ace Compliance Consultancy - Asset Management Experience Essential
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance and asset management. We want to see how your background aligns with the job description, so don’t be shy about showcasing relevant skills and achievements!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance consultancy and how your experience makes you the perfect fit for our team. Keep it engaging and personal – we love a bit of personality!
Showcase Your Communication Skills: Since excellent verbal and written communication skills are key for this role, make sure your application reflects that. Use clear, concise language and check for any typos or errors. We appreciate attention to detail!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, you’ll get to explore more about what we do at StudySmarter!
How to prepare for a job interview at Austin Andrew
✨Know Your Compliance Stuff
Make sure you brush up on the FCA Handbook and any relevant regulations. Being able to discuss specific compliance issues and how they relate to asset management will show that you're not just familiar with the basics, but that you really understand the field.
✨Showcase Your Client Relationship Skills
Since building client relationships is key in this role, prepare examples of how you've successfully managed client interactions in the past. Think about times when you provided excellent customer service or resolved a tricky situation—these stories will help you stand out.
✨Demonstrate Your Training Experience
If you've provided compliance training before, be ready to talk about it! Share your approach to training and how you ensure that clients understand complex regulatory requirements. This will highlight your ability to communicate effectively, which is crucial for this position.
✨Prepare for Regulatory Changes
Stay updated on recent regulatory changes and think about how they might impact asset management clients. Being able to discuss these changes and their implications during the interview will demonstrate your proactive approach and deep understanding of the industry.