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- Tasks: Ensure compliance and AML frameworks are maintained while collaborating with business teams.
- Company: Dynamic investment management firm focused on compliance excellence.
- Benefits: Full-time role with opportunities for professional growth and development.
- Other info: Engage in a collaborative culture with a focus on continuous improvement and technology.
- Why this job: Join a fast-paced environment where your work directly impacts compliance and regulatory success.
- Qualifications: Degree in Law, Finance or Risk Management; 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
- 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.
Compliance Analyst - Asset Management in England employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst - Asset Management in England
✨Tip Number 1
Don't just sit back and wait for the job to come to you! Reach out directly to the job poster, Austin Andrew, via direct message. A friendly nudge can make a big difference and show your enthusiasm for the role.
✨Tip Number 2
Network like a pro! Connect with professionals in the asset management field on LinkedIn. Join relevant groups and participate in discussions to get your name out there and learn more about the industry.
✨Tip Number 3
Prepare for interviews by brushing up on compliance regulations and AML frameworks. We recommend doing mock interviews with friends or using online resources to practice your responses to common questions.
✨Tip Number 4
Make sure to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re serious about joining our dynamic investment management team.
We think you need these skills to ace Compliance Analyst - Asset Management in England
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 you can contribute to our team. Be sure to mention specific experiences that relate to the job description.
Showcase Your Analytical Skills: Since this role involves a lot of monitoring and reporting, make sure to highlight your analytical skills. 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 through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Austin Andrew
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations and AML frameworks. Familiarise yourself with FCA rules and how they apply to asset management. This will show that you're not just a candidate, but someone who understands the industry inside out.
✨Showcase Your Analytical Skills
Since this role involves leveraging technology and analytics, be prepared to discuss your experience with compliance monitoring programmes. Bring examples of how you've used data to make recommendations or improve processes in your previous roles.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance issues or challenges. Think about past experiences where you had to coordinate KYC checks or draft reports, and be ready to explain your thought process and outcomes.
✨Demonstrate Team Collaboration
This role requires working closely with various teams and senior management. Be ready to share examples of how you've successfully collaborated in the past, especially in busy environments. Highlight your ability to communicate effectively and build relationships across departments.