At a Glance
- Tasks: Ensure compliance with financial regulations and enhance the firm's compliance programme.
- Company: Leading institutional asset manager based in London.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunity to work on diverse projects and grow your career in finance.
- Why this job: Join a vital team ensuring ethical practices and regulatory adherence in finance.
- Qualifications: Degree in Finance, Economics, or Law; 1-4 years in compliance.
The predicted salary is between 37800 - 46200 £ per year.
Compliance Associate – Asset Management - London
Company Overview
Our client is an institutional asset manager based in London.
The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices.
They are currently seeking a Compliance Associate to join their Compliance team and contribute to the success and growth of the firm.
Role Overview
As a Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme.
You will be responsible for monitoring and ensuring adherence to applicable regulations, policies, and procedures.
The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.
Key Responsibilities
- Regulatory compliance: Stay abreast of relevant financial regulations, including but not limited to AIFMD and other FCA guidelines.
- Thematic reviews and testing
- Develop and maintain compliance policies and procedures
- Regulatory filing
- PA dealing
- G&E
- Compliance training
- Client onboarding (AML and KYC)
- Ad hoc project work
Requirements
- Bachelor's degree in Finance, Economics, Law, or a related field.
- Prior experience (1-4 years) in a generalist compliance role working within financial services.
- Strong knowledge of UK financial regulations and industry best practices.
- Excellent analytical and problem-solving skills with high attention to detail.
- Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.
If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.
For more details, please contact Jon Pettet at jon. pettet@blackswangroup. com
Compliance Associate in City of London employer: Black Swan Group
Black Swan Group is an exceptional employer, offering a dynamic work environment in the heart of London where innovation and collaboration thrive. With a strong focus on employee growth, the firm provides ample opportunities for professional development and career advancement, alongside a highly competitive compensation package that reflects the value placed on expertise and dedication. Join a team that values your contributions and fosters a culture of excellence and efficiency in the fast-paced world of equities operations.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate in City of London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Black Swan Group looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Associate in City of London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Black Swan Group. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Black Swan Group
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Black Swan Group’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
