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- Tasks: Join our Compliance Team to conduct monitoring reviews and support compliance initiatives.
- Company: A leading brokerage firm focused on enhancing its compliance function.
- Benefits: Enjoy a dynamic work environment with opportunities for growth and development.
- Why this job: Be part of a team that makes a real impact in regulatory compliance and risk management.
- Qualifications: Experience in compliance within an FCA-regulated firm is essential; trading knowledge is a plus.
- Other info: This role offers a chance to engage with various stakeholders and develop key compliance skills.
The predicted salary is between 36000 - 60000 £ per year.
A leading brokerage is seeking a Compliance Associate to join its growing Compliance Team. This opportunity is a growth hire aimed at supporting the Head of Compliance and the wider team as the firm continues to bolster its compliance function.
Responsibilities
- Conduct monitoring reviews on specific thematic topics where compliance or regulatory risks exist, report findings to Compliance management, recommend steps for mitigation, and action follow-ups with relevant stakeholders.
- Review, develop, and update policies, procedures, and processes to align with regulatory standards.
- Contribute to other compliance policy reviews and compliance projects, engaging with relevant stakeholders as needed.
- Assist in responding to exchange and regulatory enquiries or requests.
Experience
- Proven compliance experience in an FCA-regulated firm (Investment bank, brokerage, trading house, etc.)
- Fixed income or commodities experience is preferred but not essential
- Familiarity with the regulatory requirements of trading exchange
- Demonstrated ability to communicate and interact effectively with front-office sales and traders
- Sound written and spoken communication skills
Compliance Associate - Monitoring employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate - Monitoring
✨Tip Number 1
Familiarise yourself with the specific regulatory requirements of trading exchanges. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance and your proactive approach to the role.
✨Tip Number 2
Network with professionals already working in compliance roles within FCA-regulated firms. Engaging with them can provide valuable insights into the industry and may even lead to referrals or recommendations for the position.
✨Tip Number 3
Stay updated on current trends and changes in compliance regulations, especially those affecting investment banks and brokerages. This knowledge will be crucial during discussions with the hiring team and will showcase your dedication to staying informed.
✨Tip Number 4
Prepare to discuss specific examples from your past experience where you've successfully identified and mitigated compliance risks. Being able to articulate these scenarios will highlight your practical skills and readiness for the Compliance Associate role.
We think you need these skills to ace Compliance Associate - Monitoring
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, especially in FCA-regulated firms. Emphasise any relevant roles or projects that demonstrate your ability to conduct monitoring reviews and interact with stakeholders.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the Compliance Associate role. Mention specific experiences that align with the responsibilities outlined in the job description, such as your familiarity with regulatory requirements and your communication skills.
Showcase Relevant Skills: When detailing your experience, focus on skills that are crucial for this role, such as policy development, risk assessment, and stakeholder engagement. Use concrete examples to illustrate how you've successfully applied these skills in previous positions.
Proofread Your Application: Before submitting your application, carefully proofread all documents. Ensure there are no spelling or grammatical errors, as strong written communication is essential for this position. A polished application reflects your attention to detail.
How to prepare for a job interview at Black Swan Group
✨Know Your Compliance Regulations
Make sure you brush up on the latest FCA regulations and compliance standards relevant to the brokerage industry. Being able to discuss these confidently will show your understanding of the role and its importance.
✨Prepare for Scenario-Based Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about past experiences where you've identified risks or implemented changes, and be ready to share those examples.
✨Showcase Your Communication Skills
Since the role involves interacting with various stakeholders, demonstrate your ability to communicate clearly and effectively. Practice articulating complex compliance topics in a straightforward manner.
✨Engage with the Team's Goals
Research the company's compliance initiatives and be prepared to discuss how you can contribute to their goals. Showing that you understand their mission and how you fit into it can set you apart from other candidates.
