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- Tasks: Monitor compliance activities and support regulatory reporting in a dynamic asset management environment.
- Company: Join an award-winning asset management firm with a family feel and a global presence.
- Benefits: Enjoy hybrid working, competitive salary, and a supportive team culture.
- Why this job: Be part of a reputable firm making a real impact in the finance sector.
- Qualifications: 3+ years of compliance experience in investment or asset management is essential.
- Other info: Work closely with the CCO and contribute to training programmes and policy updates.
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 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 approachable and experienced in dealing with the front office. Hybrid working is available, with 3 days in the office.
The Role:
Reporting directly to the CCO and working alongside 2 compliance analysts, the role holder will be responsible for day-to-day compliance monitoring activities. 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
- 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 MI 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 hybrid working.
*Please note only candidates who meet the above criteria will be contacted.
Compliance Officer - Maldon Partners employer: Maldon Partners
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Maldon Partners
✨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 handled regulatory reporting or developed training programmes, as these are key responsibilities for the position.
✨Tip Number 4
Showcase your proficiency in Excel and PowerPoint during the interview. Consider preparing a brief presentation on a compliance topic relevant to the firm, as this will highlight your skills and initiative.
We think you need these skills to ace Compliance Officer - Maldon Partners
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, especially in investment or asset management firms. Emphasise your knowledge of UK and international marketing regulations, as well as your core compliance skills.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company culture. Mention specific experiences that demonstrate your ability to handle compliance monitoring and regulatory reporting effectively.
Highlight Relevant Skills: When detailing your experience, focus on your proficiency with Excel and PowerPoint, as well as your verbal and written communication skills. These are crucial for the Compliance Officer role.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, as attention to detail is vital in compliance roles.
How to prepare for a job interview at Maldon Partners
✨Know Your Compliance Regulations
Make sure you have a solid understanding of UK and international marketing regulations. Brush up on the specifics of FCA and SEC reporting, as this will likely come up during your interview.
✨Demonstrate Your Experience
Be prepared to discuss your previous compliance monitoring experience in detail. Highlight specific examples where you've successfully managed compliance tasks, especially in an investment or asset management context.
✨Showcase Your Communication Skills
Since the role requires excellent verbal and written communication skills, practice articulating your thoughts clearly. You might be asked to explain complex compliance concepts, so being concise and clear is key.
✨Familiarise Yourself with the Company Culture
Research Maldon Partners and understand their family feel culture. Be ready to discuss how you can contribute to this environment and why you would be a good fit for their team.
