At a Glance
- Tasks: Execute compliance monitoring and support projects in a vibrant investment management firm.
- Company: Dynamic investment management business experiencing significant growth.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Flexible working with 3 days in the office and excellent career progression opportunities.
- Why this job: Join a key player in the finance sector and make a real impact on compliance.
- Qualifications: Strong knowledge of UCITS/ETFs and proactive compliance skills required.
The predicted salary is between 50000 - 70000 € per year.
We are working with an Investment Management business that has grown its AUM considerably over the years we have worked with them. A vibrant business at a key stage of their continued growth. This is a newly created position that requires a strong Compliance individual with a good knowledge of UCITS and/or ETFs. The role is very generalist and would suit an inquisitive & proactive individual. The role requires 3 days a week in the office.
Job Requirements:
- Execute Compliance Monitoring Plan, including e-surveillance and alerts
- Prepare SMCR updates and assessments (fit & proper)
- Advise on BAU and project compliance (cross-border activity from UK, non-UK, Switzerland)
- Support SMF16/17 in Compliance projects
- Handle core compliance tasks (Gifts & Entertainment, Personal Account Dealing, Conflicts, Outside Business Interests)
- Manage compliance administration (new joiner setup, FCA Directory Person submissions)
- Oversee and code Order Management System for investment restrictions
- Assist with regulatory reporting oversight (MiFID trade/transaction reporting)
- Organize and deliver staff training
- Advise Legal & Compliance team on marketing materials/financial promotion approval
Unless otherwise stated, candidates must have the right to work in the UK.
Compliance Associate – UCITS employer: CLARC Recruitment
Join a dynamic Investment Management business that is at the forefront of growth in the financial sector. As a Compliance Associate, you will thrive in a vibrant work culture that values inquisitiveness and proactivity, while benefiting from opportunities for professional development and a supportive team environment. With a flexible working arrangement of three days in the office, this role offers a unique chance to contribute to compliance excellence in a rapidly evolving industry.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate – UCITS
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management sector and let them know you're on the hunt for a Compliance Associate role. You never know who might have the inside scoop on opportunities or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your UCITS and ETF knowledge. We recommend creating a cheat sheet of key concepts and recent regulatory changes. This will not only boost your confidence but also show your potential employer that you're proactive and well-informed.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each company’s culture and mission. It’ll make a difference!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Mention something specific from your conversation to remind them why you’re the perfect fit for their Compliance team.
We think you need these skills to ace Compliance Associate – UCITS
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Associate role. Highlight your experience with UCITS and ETFs, and don’t forget to showcase any relevant compliance projects you've worked on. We want to see how you fit into our vibrant business!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this newly created position. Be inquisitive and proactive in your writing, just like we are at StudySmarter. Let us know what excites you about compliance!
Showcase Your Compliance Knowledge:In your application, make sure to demonstrate your understanding of compliance monitoring, regulatory reporting, and the SMCR updates. We’re looking for someone who can hit the ground running, so show us you’ve got the knowledge we need!
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re serious about joining our team at this exciting stage of growth.
How to prepare for a job interview at CLARC Recruitment
✨Know Your UCITS and ETFs
Make sure you brush up on your knowledge of UCITS and ETFs before the interview. Be ready to discuss how these frameworks impact compliance and any recent regulatory changes. This will show that you're not just familiar with the terms, but that you understand their practical implications.
✨Demonstrate Your Proactivity
Since the role requires an inquisitive and proactive individual, think of examples from your past experiences where you took the initiative in compliance tasks. Whether it was improving a process or identifying a potential risk, be prepared to share these stories to highlight your proactive nature.
✨Familiarise Yourself with Compliance Monitoring
Get a good grasp of what a Compliance Monitoring Plan entails, especially e-surveillance and alerts. You might be asked how you would execute such a plan, so having a clear understanding and some ideas on how to approach it will set you apart from other candidates.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions related to compliance tasks like managing conflicts or handling gifts and entertainment. Think through how you would approach these situations and be ready to explain your thought process. This will demonstrate your analytical skills and your ability to apply compliance knowledge in real-world scenarios.
