At a Glance
- Tasks: Support compliance efforts and ensure regulatory adherence in a dynamic financial environment.
- Company: Join North Rock, a leading asset management firm with a global presence.
- Benefits: Enjoy competitive salary, bonuses, and comprehensive benefits including health and retirement plans.
- Other info: Be part of a diverse and inclusive workplace with excellent career growth opportunities.
- Why this job: Make a real impact in compliance while working with a talented team in a hybrid role.
- Qualifications: 4-8 years of financial regulatory experience and strong communication skills required.
The predicted salary is between 60000 - 75000 £ per year.
North Rock Capital Management, LLC (“North Rock”) advises approximately $6.2 billion deployed in a multi-manager strategy primarily focused on relative value equity portfolio management teams.
North Rock is a wholly owned subsidiary of Lighthouse Investment Partners, LLC (“Lighthouse”) a global diversified alternative asset management firm that has a 22-year history of delivering innovative solutions to institutional investors.
North Rock and Lighthouse are indirect wholly owned subsidiaries of Navigator Global Investments Limited (NGI), an Australian Securities Exchange-listed company.
Lighthouse is an SEC-registered investment adviser, and North Rock relies on Lighthouse’s registration as a single advisory business.
North Rock has offices in New York, Chicago, and Palm Beach Gardens, in addition to London, Hong Kong, Singapore and Dubai.
About the Role
North Rock is currently seeking a Compliance Associate in its FCA-authorised London office to provide generalist support and assistance in the implementation of the UK and global compliance program.
The individual will report to North Rock UK’s Chief Compliance Officer, SMF 16, and be part of a 4-person local compliance team.
Currently this is a hybrid role with flexibility to work remotely.
Responsibilities
- Reporting and disclosures including, inter alia, short/long position disclosures and Mi FIR transaction reporting.
- Processing market soundings, early-look meeting requests and Reg M review requests, including adding/removing trading restrictions to/from the Firm’s restricted lists.
- Compliance monitoring, including communications, trades/orders and best execution.
- Administration of Fitness and Propriety reviews under the FCA Certification Regime, plus regulatory reference requests received by the Firm.
- Reviewing and documenting trade errors.
- Responding to compliance related queries from front office and other staff on regulatory matters and various internal policies and procedures.
- Assisting with the delivery of periodic compliance training.
- Implementation of various aspects of the Compliance Monitoring Programme, including involvement in ad hoc projects.
- Working with technology, IT and operational colleagues regarding daily compliance processes.
- Assist with the monitoring of domestic and international policy and regulatory developments.
Qualifications
- 4-8 years’ financial regulatory experience at an asset manager investment bank, or other relevant organisation.
- Experience in an equity trading advisory role.
- Ideally experience of significant net short position disclosure rules in the UK and EEA, and/or of MIFIR transaction reporting.
- Bachelor's degree (2:1 or above) or equivalent.
- Required Skills
- Strong interpersonal and team-working skills, with the ability to work independently also.
- Excellent written and verbal communications skills, in particular the ability to communicate clearly and effectively with front-office staff.
- Self-motivated, with an emphasis on achieving goals and completing daily tasks efficiently with excellent attention to detail.
- Strong analytical and problem-solving skills, including the ability to understand and respond to questions regarding complex regulatory and internal policy requirements.
- Excellent organizational skills.
- Pay range and compensation package
Competitive salary, discretionary bonus and benefits package.
North Rock offers a full range of benefits including medical, dental, life insurance, paid time-off, disability, and retirement plan.
Equal Opportunity Statement
North Rock is committed to diversity and inclusivity.
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Compliance Associate employer: North Rock Capital Management, LLC
North Rock Capital Management is an exceptional employer, offering a dynamic work environment in the heart of London. With a strong commitment to employee growth and a culture that values diversity and inclusivity, North Rock provides competitive salaries, a comprehensive benefits package, and the flexibility of a hybrid working model. Join a dedicated compliance team where your contributions will directly impact the firm's success while enjoying the unique advantages of working in a global investment firm.
Contact Details:
North Rock Capital Management, LLC Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like North Rock Capital Management, LLC looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at North Rock Capital Management, LLC. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at North Rock Capital Management, LLC
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with North Rock Capital Management, LLC’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
