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- Tasks: Support trade compliance and assist with regulatory filings in a dynamic environment.
- Company: Join a top global asset manager known for its investment excellence and social impact.
- Benefits: Enjoy flexible working options and the chance to make a real difference.
- Why this job: Be part of a team that promotes justice and human rights while developing your compliance skills.
- Qualifications: Bachelor’s degree and 3+ years in asset management or hedge fund compliance required.
- Other info: Opportunity to collaborate with teams in London, New York, and Ireland.
The predicted salary is between 48000 - 72000 £ per year.
Our client is a leading global asset manager and family office with a long-standing history and a reputation for excellence in both investment performance and social impact. Managing approximately $28 billion in assets, the firm serves as the principal investment manager for one of the world’s largest charitable foundations, supporting initiatives that promote justice, human rights, and democratic values globally.
The firm is expanding its UK operations and is seeking a Compliance professional who can take a lead role locally while also providing support to its Ireland and US offices as needed.
- Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York.
- Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm’s order management and other systems/tools to exercise this responsibility.
- Help with the EU and UK regulatory filings and disclosures.
- Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications.
- Assist the Compliance Officer to educate and train employees on compliance issues and industry developments.
- Be a resource to business groups to resolve compliance issues in accordance with firm policies.
- Flexibility to provide ad hoc compliance coverage to the firm’s NY office when resources are needed.
Bachelor’s degree or higher, ~3+ years of experience in asset management or hedge fund compliance, ~ Knowledge and experience with a broad range of instruments and asset classes.
Regulatory Affairs & Policy Associate employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Affairs & Policy Associate
✨Tip Number 1
Familiarise yourself with the specific EU and UK regulatory frameworks relevant to asset management. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance in the industry.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in asset management or hedge funds. Attend industry events or join relevant online forums to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 3
Stay updated on recent compliance issues and case studies within the asset management sector. Being able to discuss current events and their implications during your interview can set you apart from other candidates.
✨Tip Number 4
Prepare to showcase your experience with compliance tools and systems, particularly those used for trade compliance and regulatory filings. Highlighting your technical skills will reassure the hiring team of your ability to contribute effectively from day one.
We think you need these skills to ace Regulatory Affairs & Policy Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in asset management or hedge fund compliance. Emphasise your knowledge of EU regulatory obligations and any specific tools or systems you've used in previous roles.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and how it aligns with the firm's mission of promoting justice and human rights. Mention your experience in educating and training employees on compliance issues, as this is a key aspect of the role.
Highlight Relevant Skills: Clearly outline your skills related to trade compliance support, regulatory filings, and personal account dealing. Use specific examples from your past work to demonstrate your ability to handle compliance issues effectively.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at ETRA Talent
✨Know Your Regulations
Familiarise yourself with the key EU and UK regulatory obligations relevant to asset management. Being able to discuss these regulations confidently will demonstrate your expertise and readiness for the role.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your experience in compliance, particularly in asset management or hedge funds. This will help illustrate your capability to handle the responsibilities of the position.
✨Understand the Firm's Values
Research the firm's commitment to social impact and justice. Be ready to discuss how your personal values align with theirs, as this can set you apart as a candidate who truly understands their mission.
✨Prepare Questions
Have thoughtful questions ready about the firm's compliance culture and how they approach training and development. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
