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- Tasks: Join our team as a Compliance Analyst, managing client relationships and ensuring regulatory compliance.
- Company: Langham Hall is a collaborative firm focused on regulatory hosting services in finance.
- Benefits: Enjoy professional development opportunities and a supportive team environment.
- Why this job: Gain hands-on experience in compliance while working with diverse clients and enhancing your skills.
- Qualifications: A degree (2:1 preferred) and a keen interest in FCA regulations are ideal, but not mandatory.
- Other info: We're looking for team players eager to learn and grow in a dynamic setting.
The predicted salary is between 36000 - 60000 £ per year.
Appointed Representative – Compliance Analyst
Department: AIFM
Employment Type: Full Time
Location: London
Reporting To: Senior Compliance Associate
Description
Langham Hall is hiring a new analyst in the Regulatory Hosting team to work on Appointed Representative (AR) services. We are a small and collaborative team so are looking for someone who will be a good team fit. This role gives ample opportunities to undertake client facing work and develop key skills in communication, teamwork and lateral thinking. Undertaking a pathway to obtaining professional qualifications is encouraged. Whilst the role description gives an indication of the key attributes and skills needed for this role, we focus on team fit and eagerness to learn, not a particular degree or amount of specific experience.
Learn more about Langham Hall by visiting:
Key Responsibilities
- Administer Appointed Representative services for a portfolio of clients acting in illiquid asset classes e.g. real estate, private equity.
- Client relationship management including ongoing multi-channel communication such as face-to-face, telephone and email
- Undertake and, in time, take control of the take on and risk assessment process for Appointed Representatives.
- Completion of all relevant forms and liaison with the Financial Conduct Authority (“FCA”) in relation to the set-up of all Appointed Representatives and approved persons.
- Ongoing monitoring and oversight of all Appointed Representatives – ensuring that your ARs are operating as normal and within the parameters of the regulation, entailing the review of compliance reports and quarterly financial accounts provided by the appointed representative.
- Review of marketing materials relating to investment products to ensure that the contents are compliant with regulatory standards.
- Upkeep of client-related tracking systems.
- Work collaboratively with team to discuss solutions regulatory issues or queries through research and discussion.
- Assist in projects to improve service offering.
- Keep abreast of regulatory changes which may impact the team or Appointed Representatives.
- Update of policies and procedures to ensure that they remain compliance and appropriate for the work the team does.
- Accurately document sensitive and or technical conversations between Appointed Representatives or their advisors and senior management, in relation to AR regime or relevant regulatory changes.
- Ensuring that all permanent files are adequately maintained for new and existing Appointed Representatives.
- Delivering work to the expected standard and timeframes.
In addition to the duties listed above, the candidate may be requested to perform other ad hoc work from time to time.
Skills, Knowledge and Expertise
- Education to degree level (2:1 and above desirable).
- Previous experience in FCA regulation would be an advantage however is not essential.
- An understanding of the principles of control frameworks and risk management processes.
- Ability to present information and respond to questions from within the team and from clients.
- Excellent attention to detail and an inquisitive mind-set.
- Ability to think laterally about the practical application of the FCA rules and regulations.
- Ability to solve practical problems and deal with a variety of situations for which there may be little precedent.
- Ability to work in a small team environment with focused and hardworking individuals.
- Ability to plan effectively and prioritise workload.
- The individual must have excellent interpersonal, organisational and communication skill
- Strong numeracy and written communication skills.
- Strong MS Office skills.
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Appointed Representative - Compliance Analyst employer: Langham Hall Group
Contact Detail:
Langham Hall Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Appointed Representative - Compliance Analyst
✨Tip Number 1
Familiarise yourself with the FCA regulations and compliance frameworks relevant to Appointed Representatives. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience with Appointed Representatives. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Showcase your teamwork skills by participating in group projects or volunteer activities. Highlighting your ability to collaborate effectively will resonate well with the small team environment at Langham Hall.
✨Tip Number 4
Stay updated on recent regulatory changes that could impact the compliance landscape. Being knowledgeable about current events will show your proactive approach and eagerness to learn, which is highly valued in this role.
We think you need these skills to ace Appointed Representative - Compliance Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant skills and experiences that align with the responsibilities of the Appointed Representative - Compliance Analyst role. Emphasise your teamwork, communication skills, and any experience with regulatory frameworks.
Craft a Compelling Cover Letter: Write a cover letter that showcases your enthusiasm for the role and the company. Mention specific aspects of Langham Hall that attract you, and explain how your background makes you a great fit for their team.
Highlight Relevant Skills: In your application, focus on skills such as attention to detail, problem-solving, and your ability to work collaboratively. Provide examples from past experiences where you demonstrated these skills, especially in compliance or regulatory contexts.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail and professionalism, which are crucial for this role.
How to prepare for a job interview at Langham Hall Group
✨Show Your Team Spirit
Since Langham Hall values team fit, be sure to highlight your collaborative experiences. Share examples of how you've worked effectively in a team setting and contributed to group success.
✨Demonstrate Your Eagerness to Learn
Express your enthusiasm for professional development and learning opportunities. Mention any relevant courses or qualifications you are interested in pursuing, especially those related to compliance and regulation.
✨Prepare for Client Interaction Scenarios
As the role involves client relationship management, think of situations where you've successfully communicated with clients. Be ready to discuss how you handle different communication channels and maintain strong relationships.
✨Understand Regulatory Frameworks
Familiarise yourself with FCA regulations and compliance principles. Even if you lack direct experience, showing that you have researched these topics will demonstrate your commitment and understanding of the role's requirements.
