At a Glance
- Tasks: Support compliance by providing regulatory advice and monitoring activities.
- Company: Join a leading global provider of asset management and investment technology solutions.
- Benefits: Enjoy a hybrid work model and competitive salary between £70,000 - £75,000.
- Other info: Collaborate with internal teams like Legal, Risk, and Audit for comprehensive compliance support.
- Why this job: Be part of a dynamic team that values compliance and regulatory excellence.
- Qualifications: 4+ years in regulatory compliance within financial services, ideally in wealth or investment management.
The predicted salary is between 60000 - 84000 € per year.
A leading global provider of asset management and investment technology solutions is seeking an experienced Senior Compliance Associate who will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.
Key Responsibilities:
- Regulatory Advice: Provide day-to-day compliance support and guidance on new regulatory developments.
- Monitoring: Conduct and document compliance monitoring reviews and support implementation of recommendations.
- Policy & Training: Assist with drafting compliance policies and delivering training.
- Marketing Review: Review and approve financial promotions and client communications.
- Complaints & Breaches: Support complaint handling and breach logging, ensuring records are accurate and complete.
- Reporting: Assist with internal and regulatory reporting, including MI for senior management.
- Stakeholder Collaboration: Work with internal teams (Legal, Risk, Audit) on compliance-related matters.
Skills & Knowledge:
- 4+ years' regulatory compliance experience in financial services (Ideally worked in wealth or investment management)
- Strong knowledge of FCA regulations (e.g. CASS, SMCR, consumer duty, market abuse, trade surveillance, UCITS, financial promotions)
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Associate (Asset Management) in London
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to asset management. This will not only help you in interviews but also demonstrate your proactive approach to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the compliance and asset management sectors. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance, which can give you an edge during discussions.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully navigated compliance challenges in your previous roles. Highlighting your problem-solving skills and experience with regulatory advice will make you stand out as a candidate.
✨Tip Number 4
Research the company’s recent compliance initiatives and any public statements regarding their approach to regulatory challenges. This knowledge will allow you to tailor your conversations and show genuine interest in their operations during the interview process.
We think you need these skills to ace Senior Compliance Associate (Asset Management) in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights relevant experience in regulatory compliance, particularly in asset management. Emphasise your knowledge of FCA regulations and any specific achievements that demonstrate your expertise.
Craft a Compelling Cover Letter:Write a cover letter that directly addresses the key responsibilities outlined in the job description. Use specific examples from your past experience to illustrate how you can provide regulatory advice and support compliance monitoring.
Showcase Your Skills:In your application, clearly outline your skills related to policy drafting, training delivery, and stakeholder collaboration. Mention any relevant certifications or training that enhance your qualifications for the role.
Proofread Your Application:Before submitting, carefully proofread your application materials for any spelling or grammatical errors. A polished application reflects attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations, especially those relevant to asset management. Brush up on CASS, SMCR, and market abuse rules, as these will likely come up during your interview.
✨Showcase Your Experience
Prepare specific examples from your past roles that demonstrate your compliance experience. Highlight situations where you provided regulatory advice or conducted compliance monitoring reviews, as this will show your practical knowledge.
✨Be Ready for Scenario Questions
Expect scenario-based questions that assess how you would handle compliance issues. Think through potential challenges you might face in the role and how you would approach them, particularly in relation to complaints and breaches.
✨Emphasise Collaboration Skills
Since the role involves working with various internal teams, be prepared to discuss your experience collaborating with legal, risk, and audit departments. Share examples of how you’ve successfully worked with stakeholders to achieve compliance objectives.
