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- Tasks: Review and audit compliance requests while staying updated on financial regulations.
- Company: Dynamic investment brokerage with a strong compliance culture and international presence.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Join a leading firm and make a real impact in the world of finance.
- Qualifications: Understanding of industry products and compliance tasks; experience with regulatory reporting is a plus.
- Other info: Opportunity to grow in a fast-paced, collaborative environment.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: Our client is a full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.
THE RESPONSIBILITIES:
- Review/audit/investigation requests from Exchanges and Regulators
- FATCA and CRS Audit and Advisory; ad hoc tax projects
- Research in relation to keeping up to date on financial regulatory developments
- Monitoring and problem solving with regards to MiFIR transaction reporting
- Monitoring and problem solving with regards to EMIR reporting
- Maintaining accurate records and data in conjunction with regulatory reporting
- Annual and ad hoc Information Requests from Exchanges, Regulators and other bodies
- Ad hoc KYC / compliance requests from counterparties
- Ability to structure and execute on given projects in a time sensitive manner
- To conduct assigned sections of the firm's Compliance Monitoring Program
- ISDA Master Agreements, TPAs and other legal documents
- CASS Compliance Monitoring and Advisory support
EXPERIENCE REQUIRED:
- Understanding and experience of industry products (securities, futures, options etc)
- Understanding and previous involvement with Compliance tasks within a related sector (Desirable)
- Knowledge and experience of UnaVista and Transaction/Regulatory reporting (EMIR/MiFIR)
- Microsoft Office – Intermediate
- Ability to learn and become proficient with internal systems
For further information please contact Hannah Tabatabai.
Compliance Advisor employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisor
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance 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. Be ready to discuss how your experience aligns with their needs, especially around regulatory reporting and compliance tasks. Show them you’re not just another candidate!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you fresh in their minds and shows your enthusiasm.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Advisor role! We make it easy for you to showcase your skills and experience directly to employers looking for talent like yours.
We think you need these skills to ace Compliance Advisor
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience that match the Compliance Advisor role. Highlight any relevant compliance tasks you've tackled and show off your understanding of industry products like securities and futures.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for our client’s compliance culture. Mention specific experiences that relate to the responsibilities listed, like handling regulatory reporting or KYC requests.
Showcase Your Problem-Solving Skills: In your application, don’t forget to mention times when you’ve successfully monitored or solved compliance issues. We want to see how you approach challenges, especially with MiFIR and EMIR reporting!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially MiFIR and EMIR reporting. Familiarise yourself with the latest developments in financial regulations, as this will show your potential employer that you're proactive and well-informed.
✨Showcase Your Problem-Solving Skills
Prepare examples of how you've tackled compliance issues in the past. Think about specific challenges you've faced and how you resolved them. This will demonstrate your ability to monitor and solve problems effectively, which is crucial for the role.
✨Get Comfortable with Data
Since maintaining accurate records and data is a big part of the job, be ready to discuss your experience with data management and regulatory reporting. Highlight any tools or systems you've used, and be prepared to explain how you ensure accuracy and compliance.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions. Inquire about the company's compliance culture or recent regulatory changes they've had to adapt to. This shows your genuine interest in the role and helps you gauge if the company is the right fit for you.
