At a Glance
- Tasks: Administer compliance services and manage client relationships in a collaborative team.
- Company: Join Langham Hall, a dynamic firm focused on regulatory hosting.
- Benefits: Gain professional qualifications, develop key skills, and enjoy a supportive work environment.
- Other info: Opportunities for career growth and involvement in innovative projects.
- Why this job: Make an impact in compliance while learning and growing with a dedicated team.
- Qualifications: Degree level education preferred; eagerness to learn is key.
The predicted salary is between 36000 - 60000 € per year.
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.
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 skills.
- Strong numeracy and written communication skills.
- Strong MS Office skills.
Appointed Representative Compliance Analyst employer: Langham Hall Group
Langham Hall is an exceptional employer that fosters a collaborative and supportive work culture, ideal for those looking to grow in the compliance field. With a focus on professional development, employees are encouraged to pursue qualifications while engaging in meaningful client interactions and teamwork. Located in London, the company offers a dynamic environment where innovative thinking and regulatory expertise thrive, making it a rewarding place to build a career.
StudySmarter Expert Advice🤫
We think this is how you could land Appointed Representative Compliance Analyst
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those who work at Langham Hall or similar firms. A friendly chat can open doors and give you insights that a job description just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. Show us you're eager to learn and ready to tackle real-world challenges with confidence!
✨Tip Number 3
Practice your communication skills! Since this role involves client-facing work, being able to articulate your thoughts clearly is key. Try mock interviews with friends or family to get comfortable.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows us you're serious about joining our team!
We think you need these skills to ace Appointed Representative Compliance Analyst
Some tips for your application 🫡
Show Your Team Spirit:We’re all about collaboration here at StudySmarter, so make sure to highlight your teamwork skills in your application. Share examples of how you've worked well with others and contributed to a positive team environment.
Tailor Your Application:Don’t just send a generic CV and cover letter! Take the time to tailor your application to the role of Compliance Analyst. Mention specific skills and experiences that align with the job description, especially around compliance and client management.
Be Clear and Concise:When writing your application, clarity is key. Use straightforward language and get to the point quickly. We appreciate well-structured applications that are easy to read and understand.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Langham Hall Group
✨Know Your Regulations
Brush up on FCA regulations and compliance frameworks relevant to the role. Being able to discuss these confidently will show your understanding of the industry and your eagerness to learn.
✨Showcase Team Spirit
Since this is a collaborative team, be prepared to share examples of how you've worked well in teams before. Highlight your communication skills and how you can contribute positively to the team dynamic.
✨Prepare for Client Scenarios
Think about potential client interactions you might face in this role. Prepare to discuss how you would handle various situations, demonstrating your problem-solving skills and ability to think laterally.
✨Ask Insightful Questions
At the end of the interview, ask questions that show your interest in the role and the company. Inquire about the team's current projects or how they stay updated with regulatory changes to demonstrate your proactive mindset.
