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- Tasks: Ensure compliance with regulations and provide advisory support to senior leadership.
- Company: Dynamic Securities Trading Business focused on compliance and risk management.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Opportunity for career growth in a fast-paced industry.
- Why this job: Join a vital role in shaping compliance strategies and making a real impact.
- Qualifications: 3-5 years in compliance, preferably in financial services, with knowledge of AML and FCA rules.
The predicted salary is between 55000 - 70000 £ per year.
Our client, a Securities Trading Business is looking to hire a Compliance Generalist to perform a broad generalised compliance role, with an emphasis on advisory matters. As well as this you will be expected to support the broader Risk and Compliance Team with ad-hoc tasks as may be required during less busy periods.
Key Tasks
- Monitoring the firm to ensure compliance with regulatory standards, this will include:
- Complete regular tasks in accordance with the Compliance Monitoring Plan.
- Lead in updating the Compliance Risk Assessment.
- Lead in the provision of regulatory guidance and advice to senior leadership where required.
- Review firm-wide policies and procedures against regulatory requirements and best practices.
- Undertake regulatory horizon scanning ensuring that all regulatory changes impacting the firm are identified.
- Lead in the design and delivery of firm wide Compliance training where required.
- Support with the development and enhancement of the overall Risk and Compliance function.
Role Requirements
- Minimum of 3-5 years of experience in compliance roles within the financial services industry, with a focus on trading (investment) firms preferred.
- Legal background preferred, not essential.
- Good knowledge of AML and CTF regulations, and FCA rules as well as a practical and pragmatic application.
Senior Compliance Associate, Generalist employer: dnevo Partners
Contact Detail:
dnevo Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Associate, Generalist
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services industry, especially those in compliance roles. A friendly chat can lead to insider info about job openings that might not even be advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of AML, CTF regulations, and FCA rules. We want you to show off your expertise and how you can apply it practically in the role. Practice common interview questions and have examples ready!
✨Tip Number 3
Don’t forget to showcase your soft skills! As a Compliance Generalist, you’ll need to advise senior leadership and train others. Highlight your communication and leadership abilities during interviews to stand out from the crowd.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive and take the initiative to connect with us directly.
We think you need these skills to ace Senior Compliance Associate, Generalist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Associate role. Highlight your experience in compliance, especially within the financial services sector, and any specific achievements that relate to regulatory standards.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Use it to showcase your understanding of compliance advisory matters and how your background aligns with the key tasks mentioned in the job description.
Showcase Relevant Experience: When detailing your experience, focus on your previous roles in compliance, particularly those involving AML, CTF regulations, and FCA rules. We want to see how you've applied your knowledge practically in past positions.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role without any hiccups!
How to prepare for a job interview at dnevo Partners
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of AML, CTF regulations, and FCA rules. Be ready to discuss how you've applied these in your previous roles, especially in trading firms. This will show that you’re not just familiar with the theory but can also put it into practice.
✨Showcase Your Advisory Skills
Since the role emphasises advisory matters, prepare examples of when you've provided regulatory guidance to senior leadership. Think about specific challenges you faced and how your advice made a difference. This will highlight your ability to communicate complex compliance issues effectively.
✨Demonstrate Your Monitoring Experience
Be ready to talk about your experience with compliance monitoring plans. Discuss how you've led or contributed to updating compliance risk assessments and what tools or methods you used. This shows that you understand the importance of proactive compliance management.
✨Engage with Training Initiatives
Since you'll be involved in designing and delivering compliance training, think of any training sessions you've conducted or participated in. Share your approach to making compliance engaging and effective. This will demonstrate your commitment to fostering a culture of compliance within the organisation.