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- Tasks: Monitor compliance with financial regulations and develop policies to ensure adherence.
- Company: Join a leading institutional asset manager in London committed to ethical practices.
- Benefits: Gain valuable experience in a dynamic environment with potential for career growth.
- Why this job: Be part of a team that shapes compliance standards and impacts the financial industry.
- Qualifications: Bachelor's degree in Finance, Economics, or Law; 1-3 years in compliance preferred.
- Other info: Contact Jon Pettet for more details at jon.pettet@blackswangroup.com.
The predicted salary is between 36000 - 60000 £ per year.
Job Description
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 (1-3 years) in a generalist compliance role working for an investment management firm.
· 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 - Asset Management employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate - Asset Management
✨Tip Number 1
Familiarise yourself with the latest UK financial regulations, especially AIFMD and FCA guidelines. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the asset management sector. Attend industry events or join relevant online forums to connect with compliance experts who can provide insights and potentially refer you to opportunities.
✨Tip Number 3
Prepare to discuss real-world compliance scenarios during interviews. Think of examples from your past experience where you successfully navigated compliance challenges, as this will showcase your analytical and problem-solving skills.
✨Tip Number 4
Research the company’s compliance culture and values. Understanding their approach to compliance will allow you to tailor your responses in interviews and show that you align with their mission.
We think you need these skills to ace Compliance Associate - Asset Management
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Compliance Associate in Asset Management. Familiarise yourself with key regulations like AIFMD and FCA guidelines, as this knowledge will be crucial in your application.
Tailor Your CV: Highlight relevant experience in compliance roles, especially within investment management. Emphasise your understanding of UK financial regulations and any specific projects or tasks that align with the job description.
Craft a Strong Cover Letter: Use your cover letter to demonstrate your passion for compliance and asset management. Discuss how your skills and experiences make you a perfect fit for the role, and mention any specific achievements that showcase your analytical and problem-solving abilities.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A well-presented application reflects your attention to detail, which is essential for a Compliance Associate.
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Familiarise yourself with key financial regulations such as AIFMD and FCA guidelines. Being able to discuss these in detail will show your understanding of the compliance landscape and demonstrate your readiness for the role.
✨Showcase Analytical Skills
Prepare examples of how you've tackled complex compliance issues in the past. Highlight your analytical and problem-solving skills, as these are crucial for a Compliance Associate.
✨Communicate Effectively
Practice explaining compliance concepts clearly and concisely. You’ll need to communicate with various stakeholders, so being able to simplify complex issues is key.
✨Demonstrate Attention to Detail
Be ready to discuss how you ensure accuracy in your work. Provide examples of how your attention to detail has positively impacted compliance processes in your previous roles.
