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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 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 at jon.pettet@blackswangroup.com for more details.
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 your interview. Think of examples where you’ve successfully navigated compliance challenges, as this will showcase your analytical skills and problem-solving abilities.
✨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’re a good fit for their team.
We think you need these skills to ace Compliance Associate - Asset Management
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully 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, particularly within investment management. Emphasise your understanding of UK financial regulations and any specific projects or tasks that demonstrate your analytical skills and attention to detail.
Craft a Strong Cover Letter: Use your cover letter to explain why you're a great fit for the role. Discuss your previous experience in compliance, your ability to communicate complex issues, and how you can contribute to the firm's compliance programme.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail, which is vital in compliance roles.
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 that highlight your analytical and problem-solving abilities. Discuss specific compliance issues you've encountered and how you approached them, as this will illustrate your capability to handle complex situations.
✨Communicate Effectively
Practice explaining complex compliance concepts in simple terms. The ability to communicate clearly with stakeholders at all levels is crucial, so be ready to demonstrate this skill during the interview.
✨Demonstrate Attention to Detail
Be prepared 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, as this is a key requirement for the position.
