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- Tasks: Support clients with compliance in investments 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 sector.
- Qualifications: 2-5 years in compliance, knowledge of FCA regulations, and strong time-management skills.
- Other info: Great opportunity for early-career professionals to gain exposure and grow.
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 CorporationTM, 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 WorkTM, we ensure our workplace is one that fosters professional growth and collaboration.
Regulatory Compliance Associate- Investments in London employer: Coopman Search and Selection | B CorpTM
Contact Detail:
Coopman Search and Selection | B CorpTM Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Associate- Investments in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance frameworks. Show that you’re not just familiar with the basics, but that you can discuss how these regulations impact investment firms in real-world scenarios.
✨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!
✨Tip Number 4
Apply through our website! We’ve got a streamlined process that makes it easy for you to showcase your skills and experience. Plus, it shows you’re genuinely interested in joining our team.
We think you need these skills to ace Regulatory Compliance Associate- Investments in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Regulatory Compliance Associate role. Highlight your experience with FCA regulations, MiFID, and AIFMD. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team. Keep it concise but impactful – we love a good story!
Showcase Relevant Experience: When detailing your experience, focus on specific projects or tasks that relate to compliance in financial services. We’re keen to see how you've managed multiple projects and provided regulatory advice in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Coopman Search and Selection | B CorpTM
✨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. Inquire about their client base or how they stay updated with regulatory changes. This will highlight your proactive mindset and eagerness to contribute.
✨Emphasise Teamwork and Independence
Since the role requires both individual work and collaboration, be ready to discuss how you've successfully balanced these aspects in previous positions. Share examples that illustrate your ability to thrive in both settings.
