At a Glance
- Tasks: Support compliance regulations and monitor market activities in a dynamic financial environment.
- Company: Join a global Wealth and Investment Management Firm with ambitious growth plans.
- Benefits: Competitive salary, excellent benefits, hybrid working, and bonus package.
- Other info: Collaborative culture with opportunities for professional development.
- Why this job: Make a real impact in compliance while working with high-net-worth clients.
- Qualifications: 3+ years of compliance experience in wealth or asset management required.
The predicted salary is between 65000 - 70000 € per year.
Maldon Partners are recruiting a Generalist Compliance Analyst on a permanent basis for a global Wealth and Investment Management Firm. The firm specialises in working with HNW and UHNW individuals and families, charities and institutions. The company currently has c350 employees and a £25bn AUM with plans to massively grow this over the next few years having recently acquired another leading competitor. Hybrid working 3 days in the office.
The Role: The Generalist Compliance role will directly support the Compliance Manager in ensuring the firm meets its regulatory requirements (UK, EU and US). Responsibilities will include but not be limited to:
- Best Execution and Market Abuse monitoring
- Review marketing material
- Conduct routine monitoring
- PA dealing, COI and Gift and entertainment recording and sign off
- Interpret and apply compliance regulations
- Support the completion of due diligence questionnaires
- Maintain and Update Policies and procedures
- Review portfolio and fund restrictions
- Liase with UK and EU colleagues acting as the conduit between the UK and Spanish office
- Training
- Support regulatory reporting (FCA RegData and SEC FINRA)
- Undertake any ad hoc compliance projects in regard to new regulations
- Support ongoing assessment on SMCR
Experienced Required: A strong understanding of the UK wealth or asset management industry. Minimum of 3 years compliance experience gained with the Wealth or Asset Management industry. Good understanding of FCA and SEC regulations.
DESIRABLE: Understanding of fund management rules (UK and Irish Investment Funds).
Excellent verbal and written communication skills. Competently manage own workload and priorities. Be self-motivated and proactive within day-to-day responsibilities. Strong IT/MI production skills.
Salary: The Generalist Compliance role has a base salary of c£65,000 - £70,000 depending on experience plus excellent benefits and bonus package. Hybrid working 3 days in the office is also on offer!
*Please note only candidates who meet the above criteria will be contacted.
Generalist Compliance Analyst - Maldon Partners in London employer: Maldon Partners
Maldon Partners is an exceptional employer, offering a dynamic work environment that fosters professional growth and development within the Wealth and Investment Management sector. With a strong focus on compliance and regulatory excellence, employees benefit from a hybrid working model, competitive salary packages, and the opportunity to be part of a rapidly expanding firm that values innovation and collaboration. Join us in Maldon, where your contributions will directly impact our success and the satisfaction of our high-net-worth clients.
StudySmarter Expert Advice🤫
We think this is how you could land Generalist Compliance Analyst - Maldon Partners in London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those at Maldon Partners. A friendly chat can sometimes lead to opportunities that aren’t even advertised.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA and SEC regulations. Show us you know your stuff and can handle compliance like a champ!
✨Tip Number 3
Don’t just apply and wait! Follow up on your application after a week or so. A little nudge can show your enthusiasm and keep you on their radar.
✨Tip Number 4
Check our website regularly for updates on job openings. We’re growing fast, and you don’t want to miss out on the chance to join our awesome team!
We think you need these skills to ace Generalist Compliance Analyst - Maldon Partners in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Generalist Compliance Analyst role. Highlight your compliance experience, especially in the wealth or asset management industry, and showcase your understanding of FCA and SEC regulations.
Craft a Compelling Cover Letter:Your cover letter should tell us why you're the perfect fit for this role. Use it to explain how your skills and experiences align with the responsibilities listed in the job description, and don’t forget to show your enthusiasm for the company!
Be Clear and Concise:When filling out your application, keep your language clear and concise. We appreciate straightforward communication, so avoid jargon and get straight to the point about your qualifications and experiences.
Apply Through Our Website:We encourage you to apply through our website for the best chance of being noticed. It’s the easiest way for us to track your application and ensure it gets into the right hands!
How to prepare for a job interview at Maldon Partners
✨Know Your Regulations
Make sure you brush up on the latest FCA and SEC regulations before your interview. Being able to discuss these confidently will show that you’re not just familiar with compliance but are genuinely passionate about it.
✨Showcase Your Experience
Prepare specific examples from your previous roles that highlight your compliance experience, especially in wealth or asset management. Use the STAR method (Situation, Task, Action, Result) to structure your answers effectively.
✨Understand the Company Culture
Research Maldon Partners and their approach to compliance. Understanding their values and how they operate will help you tailor your responses and demonstrate that you’re a good fit for their team.
✨Ask Insightful Questions
Prepare thoughtful questions to ask at the end of your interview. This could be about their compliance strategies or how they plan to grow in the future. It shows your interest in the role and helps you gauge if the company aligns with your career goals.
