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- Tasks: Join us as a Compliance Specialist, ensuring regulatory compliance in financial services.
- Company: We are a dynamic financial services entity with offices in the US and London.
- Benefits: Enjoy hybrid/WFH options, flexible schedules, and potential for contract extension or permanent roles.
- Why this job: Perfect for those seeking a client-facing role in a supportive environment, ideal for parents returning to work.
- Qualifications: Experience in financial services, strong communication skills, and familiarity with compliance protocols preferred.
- Other info: Entry-level positions available; great opportunity to grow in a reputable company.
The predicted salary is between 48000 - 84000 £ per year.
We are seeking to add to our staff and several positions are open within a variety of skill sets and experience. These include:
- Part-time and full-time positions
- Administrative through senior positions
- Most are hybrid/WFH positions.
Depending on the role applied for, past experience may include:
- Chief Compliance Officer and/or other financial regulatory licensing in either UK or US
- Financial and Operations Principals (FINOPs) with a US FINRA Series 27/28
- Familiarity with FINRA, SEC, NFA, RIA and/or FCA regulatory compliance protocols, including AML Procedures, Written Supervisory Procedures, Business Continuity Plans and various regulatory filings such as Form CRS and Reg BI a plus
- Broker-dealer, investment firm, or Registered Investment Advisory experience a plus
- Past experience in a financial services entity such as a bank, securities firm or investment advisor
For all positions, this is a client-facing role that requires being well-spoken with good telephone and writing skills. Project management experience a plus. Facility with MS Office software.
We have an office in the United States and London and this can be a hybrid/WFH position in either location. Positions based in the UK will be on a fixed term contract to start, with a contract extension and/or future permanent employment potential for the right individual(s). Positions based in the US will primarily be WFH positions.
We are particularly cognizant of parental schedules, provided the responsibilities are carried out; this position is perfect for parents returning to the workforce with prior financial services experience.
Seniority level: Entry level
Employment type: Full-time
Job function: Finance and Sales
Compliance Specialist - eFinancialCareers employer: Jobs via eFinancialCareers
Contact Detail:
Jobs via eFinancialCareers Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Specialist - eFinancialCareers
✨Tip Number 1
Familiarise yourself with the specific regulatory frameworks relevant to the role, such as FINRA, SEC, and FCA. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the financial services sector, especially those who work in compliance roles. Attend industry events or join online forums to connect with potential colleagues and learn about job openings.
✨Tip Number 3
Prepare for client-facing scenarios by practising your communication skills. Role-play common compliance-related conversations to build confidence and ensure you can articulate your thoughts clearly during interviews.
✨Tip Number 4
Highlight any project management experience you have, as this is a valuable skill in compliance roles. Be ready to discuss how you've successfully managed projects in the past, particularly in a financial context.
We think you need these skills to ace Compliance Specialist - eFinancialCareers
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of a Compliance Specialist. Familiarise yourself with relevant regulations such as FINRA, SEC, and AML procedures.
Tailor Your CV: Customise your CV to highlight your experience in regulatory compliance and financial services. Emphasise any relevant certifications or past roles that align with the job description.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your communication skills and explains why you're a great fit for the role. Mention specific experiences that demonstrate your knowledge of compliance protocols.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, as attention to detail is crucial in compliance roles.
How to prepare for a job interview at Jobs via eFinancialCareers
✨Know Your Regulations
Familiarise yourself with key regulations such as FINRA, SEC, NFA, and FCA compliance protocols. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Demonstrate Communication Skills
Since this is a client-facing role, practice articulating your thoughts clearly and confidently. Prepare examples of how you've effectively communicated complex compliance issues in the past.
✨Highlight Relevant Experience
Be ready to discuss your previous roles in financial services, especially any experience with broker-dealers or investment firms. Tailor your responses to showcase how your background aligns with the job requirements.
✨Prepare for Hybrid Work Questions
As many positions are hybrid or WFH, think about how you manage your time and responsibilities in a remote setting. Be prepared to share strategies that ensure productivity and effective communication while working from home.
