At a Glance
- Tasks: Support compliance programmes, regulatory filings, and trading surveillance in a dynamic investment firm.
- Company: Leading global investment management firm based in London.
- Benefits: Professional development opportunities and exposure to strategic business initiatives.
- Other info: Opportunity to work with private funds and gain exposure across the business.
- Why this job: Join a visible role with significant impact and growth potential in the finance sector.
- Qualifications: 3+ years in financial services, strong knowledge of FCA regulations, and excellent communication skills.
The predicted salary is between 60000 - 80000 £ per year.
Our client, a leading global investment management firm, is seeking a Compliance Officer to join its London office. This is an excellent opportunity for a compliance professional with 3+ years’ experience in financial services, gained within a hedge fund, asset manager, investment bank, or broader regulated financial institution.
Reporting directly to the GC/CCO, you will support all aspects of the firm's compliance programme, including:
- regulatory filings
- compliance monitoring
- trading surveillance
- threshold reporting
- market abuse controls
- policy development
- employee training
The role also offers exposure to investor relations, fund structuring, and strategic business initiatives.
The ideal candidate will have strong knowledge of FCA regulations, familiarity with SEC requirements, excellent organisational and communication skills, and a proactive, solutions-oriented mindset. Experience with private funds and UCITS would be advantageous as would familiarity with relevant systems including Bloomberg, Enfusion, or FundApps.
This is a highly visible role offering broad exposure across the business and significant scope for professional development within a growing investment management platform.
Compliance Officer (3+) | Investment Manager in London employer: Hamilton Search Limited
As a leading global investment management firm, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our London office offers a collaborative environment where compliance professionals can thrive, with access to comprehensive training programmes and opportunities to engage in strategic business initiatives. Join us to be part of a forward-thinking team that values innovation and integrity in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer (3+) | Investment Manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who work in compliance. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and SEC requirements. We recommend creating a cheat sheet of key points to discuss, so you can showcase your knowledge and confidence during the interview.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Officer role. We make it easy for you to showcase your skills and experience directly to the hiring team!
We think you need these skills to ace Compliance Officer (3+) | Investment Manager in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Officer role. Highlight your 3+ years of experience in financial services and any specific knowledge of FCA regulations or SEC requirements. We want to see how your background fits with 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 your proactive, solutions-oriented mindset can benefit our team. Don’t forget to mention any relevant systems you’re familiar with, like Bloomberg or FundApps.
Showcase Your Communication Skills:As a Compliance Officer, strong communication skills are key. In your application, give examples of how you've effectively communicated compliance policies or trained employees in the past. We love seeing candidates who can convey complex information clearly!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it shows you're keen on joining our team at StudySmarter!
How to prepare for a job interview at Hamilton Search Limited
✨Know Your Regulations
Make sure you brush up on FCA regulations and SEC requirements before the interview. Being able to discuss these confidently will show that you’re not just familiar with compliance but that you’re genuinely engaged with the industry.
✨Showcase Your Experience
Prepare specific examples from your past roles in financial services, especially if you've worked in hedge funds or asset management. Highlight how your experience aligns with the responsibilities of the Compliance Officer role, particularly in areas like trading surveillance and policy development.
✨Demonstrate Proactivity
Be ready to discuss instances where you took the initiative to solve compliance issues or improve processes. A proactive, solutions-oriented mindset is key for this role, so share stories that illustrate your ability to think ahead and act decisively.
✨Familiarise Yourself with Relevant Systems
If you have experience with systems like Bloomberg, Enfusion, or FundApps, make sure to mention it. If not, do a bit of research to understand how these tools are used in compliance. Showing that you’re tech-savvy can set you apart from other candidates.
