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For Companies At a Glance
- Tasks: Advise on risk management, conduct audits, and support compliance initiatives.
- Company: Join one of the UK's largest asset management firms with a strong reputation.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Why this job: Make a real impact in risk and compliance while developing your career.
- Qualifications: Strong analytical skills and a passion for compliance and risk management.
- Other info: Dynamic team culture with opportunities for growth and learning.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: We are delighted to be working with one of the UK’s largest asset management firms, with over £10bn AUM. They are seeking a Risk and Compliance Specialist to join the team.
THE RESPONSIBILITIES:
- Advise business areas, as appropriate, on recommended control improvements actions, driving ownership, accountability and timely completion of actions.
- Provide investment risk and compliance consultancy to key stakeholders at all levels across the business to appropriately identify and manage conduct risk and support the continued development of a customer‑centric culture.
- Support the Head of Risk and Compliance in the delivery of the Compliance Plan including the completion of risk-based compliance assurance activities.
- Undertake a variety of monitoring and assurance activities including compliance-based audits and risk assessments.
- Support and pro‑actively work with the Head of Risk and Compliance to effectively manage and deliver Depositary and FCA requests to high standard, enhancing our relationship with the regulator.
- Review the funds adherence to investment borrowing powers as set out in COLL 5 and in the ICVC Prospectuses.
- Create trend analysis mechanisms to track experience and anticipate issues.
- Collate Compliance reporting and KPI tracking for use within the team and any relevant Committee(s).
- Interact with Group stakeholders in a professional manner and is able to effectively question, challenge and handle conflict when needed.
- Produce high quality, professional reports for business units and the wider senior management team.
- Tailor written and verbal communications appropriately to reflect the content and to meet the needs of the audience.
- Actively keep up to date with developments in regulation.
- Advise and influence all key stakeholders including first line operational business areas, Group stakeholders and members of the senior management team.
- Develop and maintain professional working relationships with internal contacts to ensure the provision of an effective and efficient service.
- Assist other team members – develop and demonstrate ‘one team’ behaviours.
- Contribute to a positive relationship with Depositary and FCA by supporting the Head of Risk and Compliance to deliver high quality responses/Ml as required.
- Work with external parties including Fund Administrator.
Risk & Compliance Specialist in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Risk & Compliance Specialist in London
✨Tip Number 1
Network like a pro! Reach out to current employees at the company through LinkedIn or industry events. A friendly chat can give us insider info and might just get your foot in the door.
✨Tip Number 2
Prepare for the interview by researching the latest trends in risk and compliance. We want to show that we’re not just knowledgeable but also passionate about the field. Bring up recent regulatory changes and how they impact the industry!
✨Tip Number 3
Practice common interview questions, especially those related to risk management scenarios. We need to demonstrate our problem-solving skills and how we handle compliance challenges. Mock interviews with friends can help us nail it!
✨Tip Number 4
Don’t forget to follow up after the interview! A quick thank-you email reiterating our interest in the role can keep us top of mind. Plus, it shows we’re proactive and keen on the opportunity!
We think you need these skills to ace Risk & Compliance Specialist in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the Risk & Compliance Specialist role. Highlight relevant experience and skills that match the job description, like your ability to advise on control improvements and manage compliance effectively.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about risk and compliance, and how you can contribute to a customer-centric culture. Don’t forget to mention your experience with regulatory developments!
Showcase Your Communication Skills: Since the role involves interacting with various stakeholders, make sure to demonstrate your strong written and verbal communication skills in your application. Use clear, professional language and tailor your tone to suit the audience.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on the latest regulations and compliance standards relevant to the asset management industry. Being able to discuss recent changes or trends will show that you're proactive and knowledgeable, which is crucial for a Risk & Compliance Specialist.
✨Prepare Real-Life Examples
Think of specific instances where you've successfully identified risks or implemented compliance measures in previous roles. Use the STAR method (Situation, Task, Action, Result) to structure your answers, as this will help you convey your experience clearly and effectively.
✨Understand the Company Culture
Research the company’s values and culture, especially their approach to customer-centricity. Be ready to discuss how you can contribute to fostering this culture within the risk and compliance framework, as it shows you’re aligned with their goals.
✨Engage with Stakeholders
Prepare to discuss how you would interact with various stakeholders, from operational teams to senior management. Highlight your communication skills and ability to handle conflict, as these are key in advising and influencing others effectively.
