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- Tasks: Join a dynamic team ensuring compliance in a fast-growing asset management firm.
- 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.
- Why this job: Make an impact in compliance while growing your career in a supportive environment.
- Qualifications: 3+ years in compliance within investment/asset management; strong communication and Excel skills required.
- Other info: Work closely with the CCO and engage in diverse projects.
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 c£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 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 promotional and cross-border distribution material (marketing material)
- Regulatory reporting 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
Experienced 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 / 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 + hybrid working.
*Please note only candidates who meet the above criteria will be contacted.
Compliance Officer (Asset Management) (London Area) employer: Maldon Partners
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (Asset Management) (London Area)
✨Tip Number 1
Network with professionals in the asset management sector, especially those who work in compliance. Attend industry events or webinars to connect with potential colleagues and learn more about the company culture at the firm you're applying to.
✨Tip Number 2
Familiarise yourself with the latest UK and international marketing regulations relevant to asset management. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Prepare to discuss specific examples of your previous compliance monitoring experience during the interview. Highlight how you’ve contributed to policy updates or regulatory reporting in your past roles to showcase your expertise.
✨Tip Number 4
Practice articulating your thoughts clearly and concisely, as excellent verbal communication skills are essential for this role. Consider mock interviews with friends or mentors to refine your delivery and ensure you convey your ideas effectively.
We think you need these skills to ace Compliance Officer (Asset Management) (London Area)
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 your previous compliance monitoring roles.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention your relevant experience and how it aligns with the responsibilities listed in the job description, such as regulatory reporting and compliance monitoring.
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 Technical Proficiency: Mention your proficiency in Excel and PowerPoint in your application. Provide specific examples of how you've used these tools in your previous roles to prepare management information or develop training programmes.
How to prepare for a job interview at Maldon Partners
✨Know Your Regulations
Make sure you brush up on UK and international marketing regulations. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Demonstrate Your Experience
Prepare specific examples from your previous roles that highlight your compliance monitoring experience. Discuss how you've contributed to policy updates or regulatory reporting, as this will showcase your hands-on expertise.
✨Excel and PowerPoint Proficiency
Since the role requires a good command of Excel and PowerPoint, be ready to discuss how you've used these tools in your past work. You might even want to prepare a quick example of a report or presentation you've created.
✨Communication is Key
Excellent verbal and written communication skills are essential for this role. Practice articulating your thoughts clearly and concisely, and be prepared to explain complex compliance concepts in simple terms.
