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- Tasks: Monitor compliance and manage confidential information flow in a dynamic financial environment.
- Company: Join a leading global firm committed to compliance and integrity.
- Benefits: Competitive salary, diverse team, and opportunities for professional growth.
- Other info: Fast-paced environment with excellent career advancement opportunities.
- Why this job: Make a real impact in compliance while working with top professionals in finance.
- Qualifications: 4+ years in compliance, strong understanding of financial regulations, and teamwork skills.
The predicted salary is between 50000 - 60000 £ per year.
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defence, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries.
The Control Room, part of Global Compliance, is seeking a compliance officer for a role in Birmingham. The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's private/advisory side businesses and public side businesses. Additionally, the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising the business areas at the firm dealing with trading and research as to the applicability of those restrictions.
Principal Responsibilities- Interacting with the Global Banking & Markets and Asset Wealth Management Divisions to maintain the Firm's Confidential Lists
- Reviewing research published by Global Investment Research to ensure compliance with certain legal and regulatory obligations
- Liaising with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
- Applying the Research Settlement rules to facilitate communications between Equity Research and Global Banking & Markets Private personnel
- Manage the Firm's bespoke Materiality Checking process, working with the Conflicts Resolution Group, to facilitate approval for certain Firm and client transactions and subsequent risk management activities
- College or university graduate with 4+ years of compliance experience in financial services, preferably with control room and/or private side compliance
- Strong understanding of Investment Banking & Securities business and products
- Strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules
- Proficient in using Microsoft Office products, tools, and utilities for business use
- Excellent verbal and written communication skills
- Ability to work as a member of a team in a high-pressure, fast-paced environment
- Ability to work with automation and analytics tools (Alteryx, Tableau, Databases)
- Passed CFA Level 1 or higher is added advantage
- Knowledge of US Securities laws including, SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc
Compliance, Control Room, Associate, Birmingham employer: CFA Institute
Contact Detail:
CFA Institute Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Room, Associate, Birmingham
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Familiarise yourself with recent regulatory changes and how they impact the firm. This shows you're not just interested in the role but also invested in the company's mission.
✨Tip Number 3
Practice your responses to common interview questions, especially those related to compliance scenarios. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your problem-solving skills.
✨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 and take the initiative to connect directly with us.
We think you need these skills to ace Compliance, Control Room, Associate, Birmingham
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that align with the Compliance role. Highlight any relevant compliance experience, especially in financial services, and don’t forget to mention your understanding of regulatory environments.
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 background makes you a great fit for the Control Room team. Be sure to mention specific experiences that demonstrate your sound judgment and adaptability.
Showcase Your Communication Skills: Since excellent verbal and written communication skills are key for this role, make sure your application materials are clear, concise, and free of errors. This is your opportunity to demonstrate your ability to communicate effectively in a professional setting.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets into the right hands. Plus, you’ll find all the details you need about the role and our company culture there!
How to prepare for a job interview at CFA Institute
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those relevant to the financial services sector. Familiarise yourself with key terms and concepts like SEC Reg M and the Research Settlement rules, as these will likely come up during your interview.
✨Showcase Your Analytical Skills
Since the role involves working with automation and analytics tools, be prepared to discuss any experience you have with software like Alteryx or Tableau. If you’ve used these tools in past roles, share specific examples of how they helped you solve compliance issues or improve processes.
✨Demonstrate Team Spirit
This position requires collaboration with various teams, so be ready to talk about your experiences working in high-pressure environments. Highlight instances where you successfully worked with others to achieve a common goal, especially in compliance-related projects.
✨Ask Insightful Questions
Prepare thoughtful questions that show your curiosity about the firm’s compliance culture and how the Control Room operates. This not only demonstrates your interest in the role but also gives you a chance to assess if the company aligns with your values and career goals.