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- Tasks: Join a dynamic Compliance team, supporting daily compliance activities and improving processes.
- Company: Be part of a prestigious investment management firm with a strong reputation in the industry.
- Benefits: Enjoy hands-on experience, professional growth, and a collaborative work environment.
- Why this job: This role offers broad exposure and the chance to make a real impact in compliance.
- Qualifications: Ideal candidates have 2-4 years' experience in compliance, preferably in asset management or hedge funds.
- Other info: A degree is required, and knowledge of MiFID II regulations is a plus.
The predicted salary is between 43200 - 72000 £ per year.
We are seeking a talented Compliance professional to join this well-established investment management firm, supporting a small high-performing Compliance team and working closely with the firm’s investment professionals. Reporting to the Compliance Officer, this is an opportunity offering broad exposure across the business, hands-on involvement in day-to-day compliance activities, and significant participation in systems and project work aimed at improving compliance processes. The role will suit a bright, proactive and detail-oriented compliance professional with 2-4 years' experience looking to take the next step in their career. Knowledge of investment and trading activities will be highly advantageous.
Key Responsibilities
- Pre-trade compliance support including reviewing trades against the relevant EU regulatory obligations and internal investment guidelines
- Assisting with wall crossings and management of the MNPI process
- Help with the EU and UK regulatory filings and disclosures
- Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications
- Partner with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading activity
- Assist the Compliance Officer to educate and train employees on compliance issues and industry developments
- Be a resource to business groups to resolve compliance issues in accordance with firm policies
About You
- Educated to degree level
- 3–6 years of regulatory experience from an asset manager, hedge fund or sell side firm
- Knowledge of MiFID II requirements and other EU and UK regulations
- Strong risk awareness and understanding of regulatory frameworks
- Highly analytical and detail-oriented with a critical mindset and investigative approach
- Strong sense of ownership, with the ability to work independently and meet tight deadlines
- Effective multitasker with excellent communication and interpersonal skills
We really appreciate your time and interest in this opportunity. While we would very much like to respond to each applicant individually, this is not always possible due to the high volume of applications. Thank you for your understanding.
Compliance Analyst - excellent buy side name employer: Avenell Search Ltd
Contact Detail:
Avenell Search Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst - excellent buy side name
✨Tip Number 1
Network with professionals in the compliance field, especially those who work in investment management. Attend industry events or webinars to connect with potential colleagues and learn more about the specific compliance challenges they face.
✨Tip Number 2
Familiarise yourself with MiFID II and other relevant EU and UK regulations. Being able to discuss these regulations confidently during your conversations will demonstrate your knowledge and commitment to the role.
✨Tip Number 3
Prepare to showcase your analytical skills by discussing past experiences where you identified compliance issues or improved processes. Use specific examples that highlight your proactive approach and attention to detail.
✨Tip Number 4
Research the firm’s compliance culture and values. Understanding their approach to compliance will help you tailor your discussions and show how you can contribute to their team effectively.
We think you need these skills to ace Compliance Analyst - excellent buy side name
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within investment management. Emphasise your understanding of MiFID II and other EU and UK regulations, as well as any specific achievements in previous roles.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your proactive approach. Mention specific experiences that demonstrate your analytical skills and ability to work independently, as these are key traits for the role.
Highlight Relevant Skills: In your application, clearly outline your skills related to risk awareness, regulatory frameworks, and compliance processes. Use examples from your past roles to illustrate how you have successfully navigated compliance challenges.
Proofread Your Application: Before submitting, carefully proofread your application for any errors or inconsistencies. A well-presented application reflects your attention to detail, which is crucial for a Compliance Analyst role.
How to prepare for a job interview at Avenell Search Ltd
✨Know Your Regulations
Familiarise yourself with MiFID II and other relevant EU and UK regulations. Be prepared to discuss how these regulations impact compliance processes and trading activities, as this knowledge will demonstrate your expertise and readiness for the role.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in previous roles. Highlight specific instances where your attention to detail helped identify compliance issues or improve processes, as this aligns with the firm's need for a detail-oriented professional.
✨Understand the Business
Research the firm’s investment strategies and the types of securities they trade. This understanding will allow you to engage meaningfully with Portfolio Managers and Traders during the interview, showcasing your proactive approach and ability to pre-empt compliance issues.
✨Prepare for Scenario Questions
Anticipate scenario-based questions related to compliance challenges. Think through how you would handle situations involving wall crossings or managing MNPI processes, as this will demonstrate your practical knowledge and problem-solving abilities in real-world contexts.