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- Tasks: Support compliance monitoring and ensure adherence to regulatory requirements in a fast-paced environment.
- Company: Boutique asset management firm in Central London with a collaborative culture.
- Benefits: Salary of £35k-£45k, performance bonus, share options, pension scheme, and private healthcare.
- Other info: Proactive individuals will thrive in this dynamic role with excellent career growth opportunities.
- Why this job: Deepen your compliance experience while making a real impact in the asset management sector.
- Qualifications: 1-3 years of compliance experience and knowledge of AIFMD regulations.
The predicted salary is between 35000 - 45000 £ per year.
The Compliance Generalist will support the CCO in ensuring the firm adheres to all relevant regulatory requirements, including FCA rules and broader UK/EU financial regulations. This is a hands‑on role suited to a proactive individual looking to deepen their experience in a dynamic and fast‑paced environment.
Client Details: Our client is a boutique asset management firm based in Central London, specialising in bespoke investment strategies across equities, fixed income, and alternative assets. The firm prides itself on a collaborative culture, high‑touch client service, and a strong commitment to regulatory integrity.
Description:
- Conduct compliance monitoring and testing in line with the Compliance Monitoring Programme, ensuring issues are reported and remediated, and the programme is regularly reviewed for regulatory coverage.
- Manage conflicts of interest by reviewing, escalating, and recording them in accordance with internal policies and procedures.
- Review and approve financial promotions and fact sheets.
- Support policy and procedure development, including drafting and reviewing documentation to ensure regulatory alignment.
- Oversee day‑to‑day compliance approvals, including personal account dealing, gifts and benefits, and outside business interests.
- Provide regulatory support, including KYC and sanctions screening, offering guidance to the business, and staying informed on regulatory developments.
Profile:
- 1‑3 years of compliance experience within an AIFM, with solid knowledge of AIFMD regulations.
- Working understanding of key regulatory frameworks, including MiFID II, UCITS, SMCR, and ideally private equity.
- Strong communication skills, both written and verbal, with the ability to manage expectations and engage effectively across teams.
- Proactive and organised, demonstrating initiative and ownership in administrative and compliance tasks.
- Analytical mindset with sound research skills, and a high‑level understanding of risk in the asset management context.
Job Offer: Salary ranging from £35,000 to £45,000. Performance‑based bonus and share‑options scheme. Comprehensive pension scheme and private healthcare.
If you are ready to take the next step in compliance within an asset management environment, we encourage you to apply today.
Compliance Generalist | Asset Management | 35k-45k + bonus employer: Michael Page
Contact Detail:
Michael Page Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Generalist | Asset Management | 35k-45k + bonus
✨Tip Number 1
Network like a pro! Reach out to your connections in the asset management sector and let them know you're on the lookout for compliance roles. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA rules and AIFMD regulations. Be ready to discuss how your experience aligns with the role, especially in compliance monitoring and managing conflicts of interest. Show them you mean business!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that resonate with your values. Check out our website for opportunities at boutique asset management firms that prioritise regulatory integrity and client service. Tailor your applications to highlight your proactive approach!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Use this opportunity to reiterate your enthusiasm for the role and how you can contribute to their compliance efforts.
We think you need these skills to ace Compliance Generalist | Asset Management | 35k-45k + bonus
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Generalist role. Highlight your relevant experience in compliance, especially any work with FCA rules or AIFMD regulations. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our collaborative culture. Be sure to mention any specific experiences that relate to the job description.
Show Off Your Communication Skills: Since strong communication is key for this role, make sure your application reflects that. Use clear and concise language, and don’t shy away from showcasing your written communication skills in your CV and cover letter.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re proactive, which is exactly what we’re looking for!
How to prepare for a job interview at Michael Page
✨Know Your Regulations
Make sure you brush up on FCA rules and the key regulatory frameworks like AIFMD, MiFID II, and UCITS. Being able to discuss these confidently will show that you're not just familiar with compliance but also genuinely interested in the role.
✨Show Your Proactivity
This role is all about being hands-on and proactive. Prepare examples from your past experience where you've taken initiative, whether it was in compliance monitoring or managing conflicts of interest. Highlighting your proactive nature will resonate well with the firm's culture.
✨Communicate Effectively
Strong communication skills are a must for this position. Practice articulating your thoughts clearly and concisely. You might even want to prepare a few questions to ask during the interview to demonstrate your engagement and ability to manage expectations across teams.
✨Demonstrate Analytical Skills
Be ready to showcase your analytical mindset. Think of scenarios where you've had to conduct research or analyse compliance issues. This will help illustrate your understanding of risk in asset management and how you can contribute to the firm’s compliance efforts.