Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Support clients with compliance in the investment sector and conduct regulatory reviews.
- Company: High-growth consultancy firm focused on compliance and sustainability.
- Benefits: Professional development, collaborative culture, and a commitment to doing good.
- Why this job: Join a dynamic team and make a real impact in the financial services industry.
- Qualifications: 2-5 years in compliance, knowledge of FCA regulations, and strong time-management skills.
- Other info: Great opportunity for early-career professionals seeking growth and exposure.
The predicted salary is between 36000 - 60000 £ per year.
We are seeking a Regulatory Compliance Associate to join the Investments practice of a well-respected, high growth compliance-focused consultancy firm. In this role, you will be supporting a range of clients who offer wholesale investment products to both retail and institutional clients with a real breadth of compliance-related support.
Key Responsibilities:
- Assisting with the drafting and submission of applications to the FCA for firms who fall in scope with both MiFID and AIFMD directives
- Performing the review of clients' Financial Promotions
- Providing clients with relevant and timely advice on regulatory developments which will impact them
- Conducting regulatory due diligence reviews as part of M&A projects
- Undertaking audits for clients on their existing regulatory frameworks and compiling detailed reports on your findings and recommendations
- Assisting clients with the development of regulatory policies and procedures
- Building relationships with the existing client base to become a go-to, trusted advisor for any compliance queries
Experience Required:
- 2-5 years’ experience in compliance within financial services, with exposure to regulations applicable to investment firms
- Experience and knowledge of FCA regulation is essential, with knowledge of AIFMD & MiFID II a big plus
- Ability to manage multiple projects and work streams at once
- Professional qualifications related to the role (CISI Diploma for example) would be hugely advantageous
- Solid work ethic, with ability to work individually and as part of a team on larger projects
- Excellent time-management skills
This is an incredibly high performing area of an already high performing business, so is a great opportunity for any compliance professional relatively early on in their career looking to gain broader exposure and professional development.
As a Certified B Corporation, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value and incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.
Regulatory Compliance Associate- Investments in City of London employer: Coopman Search and Selection | B Corp™
Contact Detail:
Coopman Search and Selection | B Corp™ Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Associate- Investments in City of London
✨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 brushing up on FCA regulations and compliance frameworks. Be ready to discuss how your experience aligns with the role of a Regulatory Compliance Associate. Show them you’re not just a candidate, but the right fit for their team!
✨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 position. 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 dream job! We’re always looking for passionate individuals who want to make a difference in compliance. Plus, it’s a great way to show you’re serious about joining our team!
We think you need these skills to ace Regulatory Compliance Associate- Investments in City of London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Regulatory Compliance Associate role. Highlight your experience with FCA regulations and any relevant qualifications, like the CISI Diploma, to show us you’re the right fit!
Showcase Your Experience: We want to see your hands-on experience in compliance within financial services. Be specific about your past roles, especially any work related to MiFID and AIFMD directives, as this will really catch our eye.
Be Clear and Concise: When writing your application, keep it straightforward and to the point. Use clear language and avoid jargon where possible. We appreciate a well-structured application that’s easy to read!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Coopman Search and Selection | B Corp™
✨Know Your Regulations
Make sure you brush up on FCA regulations, AIFMD, and MiFID II before the interview. Being able to discuss these topics confidently will show that you're not just familiar with compliance but also genuinely interested in the field.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully managed compliance projects or provided regulatory advice. This will help demonstrate your hands-on experience and how it aligns with the responsibilities of the role.
✨Ask Insightful Questions
Come prepared with questions that show your interest in the company’s approach to compliance. For instance, ask about their strategies for staying ahead of regulatory changes or how they support their clients in navigating complex regulations.
✨Emphasise Teamwork and Independence
Highlight your ability to work both independently and as part of a team. Share examples of how you've collaborated on larger projects while also managing your own tasks effectively, as this is crucial in a high-performing environment.
