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- Tasks: Support compliance reviews and monitor financial promotions and marketing materials.
- Company: Join a leading asset management firm in the heart of London.
- Benefits: Enjoy a dynamic work environment with opportunities for growth and development.
- Why this job: Be part of a team that ensures ethical practices and compliance in finance.
- Qualifications: Must have at least 2 years of compliance experience in asset management.
- Other info: Ideal for those passionate about finance and regulatory standards.
The predicted salary is between 43200 - 72000 £ per year.
Location: London
Job Description:
- Support compliance reviews and approvals for financial promotions and marketing materials.
- Assist the Compliance department in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
- Collaborate with team members on policies, procedures, and compliance issues.
- Perform daily monitoring of client investment restrictions.
- Maintain and update compliance registers.
- Assist in completing and submitting periodic compliance reports and regulatory submissions.
- Advise staff on compliance matters.
- Monitor regulatory developments and keep abreast of changes.
- Support compliance-led projects.
- Manage employee conflicts of interest.
Requirements:
- At least 2 years of generalist compliance experience gained in a fund or Asset Manager.
Compliance Analyst - Asset Management firm employer: JR United Kingdom
Contact Detail:
JR United Kingdom Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst - Asset Management firm
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance standards in the asset management sector. This will not only help you in interviews but also demonstrate your proactive approach to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals already working in compliance roles within asset management firms. Attend industry events or join relevant online forums to gain insights and potentially get referrals that could boost your application.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles, particularly those related to financial promotions and market abuse. Real-life examples can showcase your problem-solving skills and understanding of compliance issues.
✨Tip Number 4
Demonstrate your ability to collaborate effectively by highlighting any past experiences where you worked with cross-functional teams on compliance projects. This will show that you can contribute positively to our team dynamics at StudySmarter.
We think you need these skills to ace Compliance Analyst - Asset Management firm
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, especially in asset management. Include specific examples of how you've supported compliance reviews and implemented monitoring plans.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the firm. Mention your understanding of compliance issues in asset management and how your background aligns with their needs.
Showcase Relevant Skills: Emphasise skills that are crucial for a Compliance Analyst, such as attention to detail, analytical thinking, and knowledge of regulatory developments. Provide examples of how you've applied these skills in previous roles.
Highlight Team Collaboration: Since the role involves collaboration with team members, mention any experiences where you worked effectively in a team setting to address compliance issues or develop policies and procedures.
How to prepare for a job interview at JR United Kingdom
✨Know Your Compliance Basics
Make sure you have a solid understanding of compliance regulations, especially those relevant to asset management. Brush up on key concepts like best execution and market abuse, as these will likely come up during your interview.
✨Showcase Your Experience
Be prepared to discuss your previous compliance roles in detail. Highlight specific projects or tasks you've handled, particularly those related to financial promotions, monitoring plans, and regulatory submissions.
✨Demonstrate Team Collaboration
Since the role involves working closely with team members, be ready to share examples of how you've successfully collaborated on compliance issues or projects in the past. This shows that you're a team player and can contribute positively to their culture.
✨Stay Updated on Regulatory Changes
Research recent developments in compliance regulations that affect asset management. Being able to discuss current trends or changes demonstrates your commitment to staying informed and proactive in your role.
