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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.
- 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.
- Other info: Opportunity to work closely with the Chief Compliance Officer on diverse projects.
The predicted salary is between 52000 - 65000 £ 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 approximately £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) (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 Maldon Partners.
✨Tip Number 2
Familiarise yourself with the latest UK and international marketing regulations relevant to asset management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Prepare to discuss specific examples of your compliance monitoring experience. Think about how you've contributed to policy updates or regulatory reporting in previous roles, as this will showcase your hands-on expertise.
✨Tip Number 4
Research Maldon Partners thoroughly, including their recent achievements and growth trajectory. Being able to speak knowledgeably about the firm during your conversations will show your genuine interest in joining their team.
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: Given the requirement for a good command of Excel and PowerPoint, mention any specific projects or tasks where you utilised these tools effectively. This will show your technical capability and readiness for the role.
How to prepare for a job interview at Maldon Partners
✨Know Your Regulations
Make sure you have a solid understanding of 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 handled regulatory reporting.
✨Excel and PowerPoint Proficiency
Since good command of Excel and PowerPoint is essential for this role, be ready to demonstrate your skills. You might be asked to explain how you've used these tools in your past roles.
✨Communication is Key
Excellent verbal and written communication skills are crucial for a Compliance Officer. Practice articulating your thoughts clearly and concisely, as you may need to provide advice to various stakeholders.
