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- Tasks: Join a dynamic team ensuring compliance in a fast-paced asset management environment.
- Company: Be part of an award-winning firm with a family feel and global reach.
- Benefits: Enjoy hybrid working, competitive salary, bonuses, and excellent perks.
- Other info: Opportunity to work closely with the Chief Compliance Officer on diverse projects.
- Why this job: Make a real impact while growing your career in a supportive culture.
- Qualifications: 3+ years in compliance within investment or asset management; strong communication skills required.
The predicted salary is between 52000 - 78000 £ per year.
Maldon Partners are recruiting a Compliance Officer for an award-winning Asset Management Firm based in the City of London. The firm is currently in super growth mode and has an AUM of £22BN and 80 people in the London offices. It has a global footprint and a great family feel culture. The role requires an experienced buy-side Compliance Officer who is able to work in a varied role alongside the CCO. Hybrid working is available, with 3 days in the office.
The Role:
- Reporting directly to the CCO, the role holder will be responsible for helping to ensure the firm meets its compliance and regulatory obligations.
- Responsibilities will include but not be limited to:
- Monthly compliance monitoring (best execution and allocation)
- Review of financial promotions and cross-border distribution material (marketing material)
- Regulatory reporting to FCA and SEC
- Review and update compliance manual, policies and procedures
- Development and distribution of training programmes
- Providing advice to the wider business
- Preparation of management information
- Ad hoc project work
Experience Required:
- A minimum of 3 years compliance experience in an investment/asset management firm
- Good knowledge of UK and international marketing regulations
- Previous compliance monitoring experience (NOT AML/KYC)
- Core compliance experience (monitoring, policy and procedures, preparing management information and regulatory reporting)
- Good command of Excel and PowerPoint
- Excellent verbal and written communication skills
Salary:
The Compliance Officer role has a base salary of £65,000 - £75,000 depending on experience, plus excellent benefits and bonus, along with hybrid working.
*Please note only candidates who meet the above criteria will be contacted.
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (Asset Management)
✨Tip Number 1
Familiarise yourself with the latest UK and international marketing regulations. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the asset management sector, especially those who work in compliance. Attend industry events or join relevant online forums to build connections that could lead to referrals or insider information about the role.
✨Tip Number 3
Prepare to discuss specific compliance monitoring experiences you've had in previous roles. Be ready to share examples of how you've contributed to policy updates or regulatory reporting, as this will showcase your hands-on expertise.
✨Tip Number 4
Research Maldon Partners and the firm they represent thoroughly. Understanding their culture and values will allow you to tailor your conversations during interviews, making you a more appealing candidate.
We think you need these skills to ace Compliance Officer (Asset Management)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience specifically in asset management. Emphasise your knowledge of UK and international marketing regulations, as well as any relevant monitoring experience.
Craft a Strong Cover Letter: In your cover letter, explain why you are interested in the Compliance Officer role at this particular firm. Mention your familiarity with compliance monitoring and regulatory reporting, and how your skills align with their needs.
Showcase Communication Skills: Since excellent verbal and written communication skills are essential for this role, consider including examples in your application that demonstrate your ability to communicate complex compliance issues clearly and effectively.
Highlight Relevant Projects: If you've worked on any ad hoc projects related to compliance or regulatory obligations, be sure to mention these in your application. This will show your proactive approach and ability to handle varied responsibilities.
How to prepare for a job interview at Maldon Partners
✨Know Your Compliance Regulations
Make sure you have a solid understanding of both UK and international marketing regulations. Brush up on the FCA and SEC requirements, as you'll likely be asked about them during the interview.
✨Showcase Your Experience
Prepare to discuss your previous compliance monitoring experience in detail. Highlight specific examples where you've successfully implemented policies or procedures that improved compliance within your past roles.
✨Demonstrate Communication Skills
Since excellent verbal and written communication skills are crucial for this role, practice articulating your thoughts clearly. Be ready to explain complex compliance concepts in a way that's easy to understand.
✨Prepare Questions for the Interviewers
Think of insightful questions to ask about the firm's culture, growth plans, and compliance challenges they face. This shows your genuine interest in the role and helps you assess if it's the right fit for you.