At a Glance
- Tasks: Provide strategic regulatory advice and oversee compliance initiatives in a dynamic brokerage environment.
- Company: Entrepreneurial brokerage firm located in the vibrant West End.
- Benefits: Competitive salary, diverse tasks, and opportunities for professional growth.
- Other info: Join a small team where your contributions truly matter.
- Why this job: Make a real impact on compliance culture and work closely with senior management.
- Qualifications: 3+ years in financial services with regulatory compliance experience.
The predicted salary is between 50000 - 60000 £ per year.
THE COMPANY: Our client is an entrepreneurial brokerage firm based in the West end, seeking a keen compliance professional to get involved in a broad range of duties.
THE RESPONSIBILITIES:
- Provide strategic regulatory advice to senior management on market conduct, trading venue obligations, and regulatory risk.
- Act as a key contact for regulatory matters, supporting engagement with regulators and ensuring timely responses to enquiries.
- Lead regulatory horizon scanning and implementation of change initiatives impacting brokerage and trading activities.
- Oversee MiFID II compliance, including transaction reporting, transparency, and instrument reference data.
- Support operation and governance of the firm’s OTF, including rulebook interpretation and participant guidance.
- Contribute to regulatory reporting obligations (FCA RegData, Connect), ensuring accuracy and timeliness.
- Implement and enhance compliance controls, policies, and monitoring frameworks.
- Collaborate closely with international offices on cross-border compliance and regulatory alignment.
- Lead ad hoc compliance projects, including control enhancements and regulatory remediation initiatives.
- Strengthening compliance culture through proactive training enforcement.
EXPERIENCE REQUIRED:
- Ideally 3 years+ experience within a financial services firm.
- Regulatory compliance experience.
- Candidates should enjoy working within a small business and thrive on working on a variety of different tasks.
- Ideally exposure to regulatory reporting and similar reporting and metric.
- Keen and commercially-minded individual.
For further information please contact Natalie Eshelby.
Compliance Analyst - EXCLUSIVE in Slough employer: Compliance Professionals
Our client is an exceptional employer located in the vibrant West End, offering a dynamic work environment that fosters innovation and collaboration. With a strong focus on employee growth, the firm provides ample opportunities for professional development and encourages a culture of compliance and integrity. Employees benefit from engaging in diverse responsibilities while being part of a close-knit team that values strategic input and proactive training.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Analyst - EXCLUSIVE in Slough
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Analyst - EXCLUSIVE in Slough
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
