At a Glance
- Tasks: Support compliance services for asset management clients and assist with regulatory activities.
- Company: Join a dynamic compliance consultancy with a focus on growth and client relationships.
- Benefits: Highly competitive salary and equal opportunities for all applicants.
- Other info: Dynamic environment with opportunities for professional development and career advancement.
- Why this job: Gain exposure to multiple regulatory areas and build valuable industry connections.
- Qualifications: 2-3 years in compliance consultancy or financial services, with knowledge of FCA regulations.
The predicted salary is between 40000 - 50000 € per year.
Core-Asset Consulting is working with a specialist compliance consultancy to recruit a Compliance Associate to join their growing team. This position will support senior consultants in delivering compliance services to a portfolio of asset management clients. The successful candidate will assist with a broad range of regulatory and compliance activities, helping clients meet their regulatory obligations while maintaining effective compliance frameworks. The role provides exposure to multiple regulatory areas and the opportunity to build strong client relationships within a dynamic consultancy setting.
Requirements:
- 2–3 years’ experience within compliance consultancy, investment operations, or audit within financial services.
- Understanding of the asset management industry, particularly hedge funds or private equity firms.
- Knowledge of trade operations and related processes.
- Familiarity with the key components of a compliance framework and the three lines of defence model.
- Working knowledge of FCA regulatory requirements.
Core Responsibilities:
- Supporting the delivery of compliance services across a portfolio of financial services clients.
- Assisting with compliance monitoring activities in line with clients’ Compliance Monitoring Programmes (CMPs), including testing and reporting.
- Supporting trade surveillance activities, including monitoring best execution, market abuse and firm communications.
- Assisting with regulatory filings related to market data disclosures and position notifications.
- Supporting clients in meeting compliance obligations by ensuring appropriate processes and controls are followed.
- Maintaining and updating compliance documentation, including policies and procedures.
- Assisting with FCA Senior Manager applications and supporting other FCA applications and regulatory notifications.
- Supporting the completion and submission of FCA RegData and Connect returns.
- Assisting with the implementation and ongoing use of compliance monitoring systems.
- Monitoring regulatory developments and supporting assessments of their impact on clients.
A highly competitive salary.
Core-Asset Consulting is an equal opportunities recruiter, and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.
Job reference: (16346)
Compliance Associate employer: Core-Asset-Consulting
Core-Asset Consulting is an exceptional employer, offering a dynamic work culture that fosters professional growth and collaboration within the compliance consultancy sector. Located in Glasgow, employees benefit from a highly competitive salary and the opportunity to engage with a diverse portfolio of asset management clients, enhancing their expertise in regulatory frameworks while building meaningful client relationships. The company values inclusivity and provides a supportive environment for all team members, making it an ideal place for those seeking a rewarding career in compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate
✨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 learn about job openings that might not be advertised.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. We recommend practising common interview questions related to compliance scenarios, so you can showcase your expertise and problem-solving skills.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a 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 Associate role! We’re always looking for passionate candidates who understand the asset management industry and are ready to make an impact.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Associate role. Highlight your experience in compliance consultancy, investment operations, or audit within financial services. We want to see how your skills align with the job description!
Showcase Relevant Experience:When writing your cover letter, focus on your understanding of the asset management industry and any specific experience you have with hedge funds or private equity firms. This will help us see that you’re a great fit for our team.
Be Clear and Concise:Keep your application clear and to the point. Use bullet points where possible to make it easy for us to read through your qualifications and experiences. We appreciate straightforward communication!
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Core-Asset-Consulting
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance frameworks and FCA regulations. Being able to discuss specific regulatory requirements and how they apply to asset management will show that you're serious about the role.
✨Showcase Your Experience
Prepare examples from your past roles that highlight your experience in compliance consultancy or financial services. Think about situations where you successfully supported compliance activities or improved processes, as these will resonate well with the interviewers.
✨Understand the Company’s Clients
Research the types of clients the consultancy works with, especially in hedge funds and private equity. Being able to speak about their challenges and how you can help them meet their compliance obligations will set you apart from other candidates.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s approach to compliance and how they support their clients. This not only shows your interest but also gives you a chance to demonstrate your understanding of the industry and the role.
