Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Be the go-to compliance expert for clients, leading reviews and providing training.
- Company: Join a thriving compliance consultancy with a diverse client base in asset management.
- Benefits: Enjoy flexible working options and opportunities for professional growth.
- Why this job: Make a real impact in the compliance world while building strong client relationships.
- Qualifications: Degree educated with experience in compliance or regulatory roles; FCA knowledge is a must.
- Other info: Remote work options available; perfect for those passionate about compliance and regulation.
The predicted salary is between 36000 - 60000 £ per year.
Overview We are looking to hire a compliance expert to join a specialist compliance consultancy on a permanent basis. Knowledge of SEC jurisdiction is essential.Key Responsibilities Primary compliance resource for a number of clientsImplementation of policies as applicableAssisting with background screening checks as necessary and liaising with the FCAProvision of compliance training, both on-site and remotelyReview and approval of financial promotion materialsUpdating on regulatory change and how it impacts their businessProviding support to senior managers where requiredBuilding and developing client relationshipsKey Skills / Experience Experience gained within a buy-side compliance manager — including hedge funds, private equity, real estate and other alternatives.Or a regulatory consultancy, or the FCAGood knowledge of the FCA HandbookExperience of compliance monitoring or similarAbility to implement regulatory solutions to address compliance needsStrong client facing abilityExcellent verbal and written communication skills
#J-18808-Ljbffr
Compliance Consultancy - SEC Knowledge ESSENTIAL employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultancy - SEC Knowledge ESSENTIAL
✨Tip Number 1
Make sure to brush up on your knowledge of the SEC regulations and how they differ from FCA guidelines. This will not only help you in interviews but also show that you're proactive and well-prepared for the role.
✨Tip Number 2
Network with professionals in the compliance consultancy field, especially those who have experience with SEC regulations. Attend industry events or join relevant online forums to make connections that could lead to job opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've implemented compliance solutions in previous roles. Being able to articulate your experience with real-world scenarios will demonstrate your capability and confidence.
✨Tip Number 4
Familiarise yourself with the latest regulatory changes affecting the SEC and FCA. Showing that you stay updated on industry trends can set you apart from other candidates and highlight your commitment to compliance.
We think you need these skills to ace Compliance Consultancy - SEC Knowledge ESSENTIAL
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance consultancy, particularly with SEC knowledge. Emphasise any roles where you've worked with FCA regulated clients or similar regulatory environments.
Craft a Strong Cover Letter: In your cover letter, clearly articulate your understanding of the compliance landscape, especially regarding SEC regulations. Mention specific experiences that demonstrate your ability to implement regulatory solutions and provide compliance training.
Showcase Communication Skills: Since excellent verbal and written communication skills are crucial for this role, include examples in your application that showcase how you've effectively communicated compliance advice or conducted training sessions.
Highlight Client Relationship Management: Demonstrate your ability to build and develop client relationships. Include instances where you've successfully managed client expectations or provided exceptional customer service in a compliance context.
How to prepare for a job interview at Austin Andrew
✨Showcase Your SEC Knowledge
Make sure to highlight your understanding of SEC regulations during the interview. Be prepared to discuss how these regulations impact compliance practices and provide examples from your past experience.
✨Demonstrate Client Relationship Skills
Since building client relationships is key, think of specific instances where you've successfully managed client expectations or resolved issues. This will show your potential employer that you can maintain strong partnerships.
✨Prepare for Compliance Scenarios
Anticipate questions related to compliance monitoring and policy implementation. Prepare to discuss how you've handled similar situations in the past, showcasing your problem-solving skills and attention to detail.
✨Communicate Clearly and Confidently
Excellent verbal and written communication skills are essential for this role. Practice articulating your thoughts clearly and concisely, as this will reflect your ability to convey complex compliance information effectively.