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- Tasks: Oversee compliance for a regulated investment advisory business and manage various compliance initiatives.
- Company: Dynamic asset management firm with ambitious growth plans.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Join a critical role in shaping compliance and making a real impact in the finance sector.
- Qualifications: 4+ years in FCA-regulated compliance, strong interpersonal skills, and analytical abilities.
- Other info: Opportunity to work in a fast-paced environment with excellent career advancement potential.
The predicted salary is between 36000 - 60000 £ per year.
FCA Regulatory Experience Required. Our client is seeking a Compliance Officer to help build out and oversee compliance for the regulated investment advisory business, and play a critical role in their ambitious future plans. Suitable for someone with 4+ years of experience working in an FCA-regulated compliance role.
Responsibilities
- The role is a generalist position with the opportunity to work on a broad scope of matters, ranging from Code of Ethics management, designing and carrying out testing and training, policy development, compiling regulatory filings, marketing material review, allocation and investment management oversight, and information security.
- The Compliance Officer will be responsible for the continued development, implementation, improvement, maintenance, and monitoring of compliance requirements internally.
- Maintain a working knowledge of relevant compliance initiatives, rules, and regulations, and act as a resource when appropriate, in particular with respect to relevant regulatory developments.
- Develop and manage the compliance program, and promote and maintain the culture of compliance.
- Interact with personnel on issues related to the Code of Ethics, such as pre-clearance of personal trades, gift and entertainment requests, and questions regarding the FCA compliance manual.
- Assist with information requests from relevant regulators in consultation with the CCO.
- Perform KYC and AML analysis and assist the deal teams in preparing due diligence reports.
Application requirements
- Bachelor's degree, with a strong academic record from an accredited university.
- 4+ years of relevant work experience in a compliance or regulatory role, with a strong preference for demonstrated experience in asset management.
- Previous employment with a financial regulator or previous oversight of a compliance program within a substantial regulated investment adviser.
- Excellent interpersonal skills, with an ability to interface with colleagues at all levels and in all departments.
- Proven ability to handle stressful situations, a diverse and high-volume workload, and provide legal advice in a calm and professional manner.
- Flexibility and strong analytic and problem-solving abilities.
For more information about this position, please get in touch.
Compliance Officer - Asset Management in London employer: Jobster
Contact Detail:
Jobster Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Asset Management in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and asset management sectors. We all know that sometimes it’s not just what you know, but who you know that can land you that dream job.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We want you to be the go-to person in the room, so show off your knowledge and confidence when discussing relevant topics!
✨Tip Number 3
Don’t forget to tailor your approach! When applying through our website, make sure your application reflects your experience in compliance roles specifically related to asset management. We love seeing candidates who understand the nuances of the industry.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way. We appreciate candidates who show enthusiasm and professionalism, so let them know you’re keen on the role and ready to contribute to their compliance culture.
We think you need these skills to ace Compliance Officer - Asset Management in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your FCA regulatory experience and any relevant skills that match the job description. We want to see how your background fits with our ambitious plans!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance in asset management and how your experience aligns with our needs. Keep it engaging and personal – we love a good story!
Showcase Your Skills: Don’t just list your qualifications; demonstrate your skills! Provide examples of how you've handled compliance challenges or improved processes in previous roles. We’re looking for someone who can bring their expertise to our team.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Let’s get started on this journey together!
How to prepare for a job interview at Jobster
✨Know Your FCA Regulations
Make sure you brush up on the latest FCA regulations and compliance requirements relevant to asset management. Being able to discuss these confidently will show that you're not just familiar with the rules, but that you can apply them in practice.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your experience in compliance. Whether it's managing a compliance programme or handling regulatory filings, having concrete stories ready will help demonstrate your expertise.
✨Demonstrate Interpersonal Skills
Since this role involves interacting with various departments, be ready to discuss how you've successfully communicated compliance issues in the past. Think of instances where you’ve navigated complex situations with colleagues and how you maintained professionalism under pressure.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance culture and future plans. This shows your genuine interest in the role and helps you assess if the company aligns with your career goals. Plus, it gives you a chance to engage with the interviewers on a deeper level.
