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- Tasks: Monitor trade activities and ensure compliance with financial regulations.
- Company: Leading asset management firm in London focused on compliance excellence.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Why this job: Join a team that values integrity and make a real impact in finance.
- Qualifications: Degree in Finance, Economics, or Law; 1-3 years of compliance experience.
- Other info: Great opportunity for career growth in a supportive team.
The predicted salary is between 36000 - 60000 £ per year.
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.
As a Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for a range of compliance tasks with a strong focus on trade surveillance and market abuse monitoring. 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:- Trade surveillance and market abuse monitoring
- 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
- Bachelor's degree in Finance, Economics, Law, or a related field.
- Prior experience (1-3 years) covering MAR (Market Abuse Regulation).
- 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 - Trade Surveillance in London employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate - Trade Surveillance in London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that Compliance Associate role.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of financial regulations and compliance practices. We recommend doing mock interviews with friends or using online platforms to get comfortable discussing trade surveillance and market abuse monitoring.
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to discuss how you've tackled complex compliance issues in the past. We want to see your problem-solving abilities in action, so have some examples up your sleeve.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Associate - Trade Surveillance in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Associate role. Highlight your experience with trade surveillance and any relevant financial regulations. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can contribute to our team. Keep it concise but impactful – we love a good story!
Showcase Your Analytical Skills: Since this role requires strong analytical abilities, be sure to include examples of how you've tackled complex compliance issues in the past. We want to know how you think and solve problems!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just a few clicks and you’re done!
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Make sure you brush up on the latest UK financial regulations, especially those related to Market Abuse Regulation (MAR). Being able to discuss these confidently will show that you’re not just familiar with compliance but are genuinely interested in the field.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think of examples from your past experience where you successfully navigated complex compliance issues. This will demonstrate your analytical skills and problem-solving abilities.
✨Communicate Clearly
Since the role involves communicating with various stakeholders, practice explaining complex compliance concepts in simple terms. This will help you showcase your ability to convey important information effectively, which is crucial for a Compliance Associate.
✨Show Enthusiasm for Compliance
Let your passion for compliance shine through during the interview. Discuss why you’re drawn to this field and how you stay updated on industry trends. A genuine interest can set you apart from other candidates.
