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- Tasks: Ensure compliance and drive improvements in a dynamic investment bank environment.
- Company: Boutique investment bank with a focus on compliance excellence.
- Benefits: Potential for permanent role, competitive salary, and professional growth.
- Why this job: Join a team where your compliance expertise can make a real difference.
- Qualifications: 2+ years in compliance and strong organisational skills required.
- Other info: Opportunity to work in a supportive and innovative team.
The predicted salary is between 36000 - 60000 £ per year.
We are supporting a boutique investment bank with the hiring of an experienced compliance associate who will become an integral part of the team in London. This role would initially be on a 12 months FTC, however there is a possibility for it to go permanent for the right candidate.
The role includes:
- Deliver compliance monitoring and identify control gaps, driving remediation
- Review personal account dealing, gifts and hospitality, and outside business activity requests
- Manage regulatory onboarding and annual certification processes
- Prepare and submit regulatory reports, ensuring accuracy and timeliness
- Conduct KYC/AML client onboarding checks
- Monitor electronic communications and escalate material concerns
- Maintain compliance registers and management information
- Support regulatory change initiatives and compliance system enhancements
- Deliver compliance training and manage ad hoc advisory matters
About You:
- 2+ years in a generalist compliance role
- Proficient with system enhancements and implementations
- Highly organised with excellent communication skills
Compliance Associate (12 Month FTC) in City of London employer: Rutherford
Contact Detail:
Rutherford Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate (12 Month FTC) in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on compliance regulations and recent changes in the industry. We recommend creating a cheat sheet of key topics to discuss, so you can showcase your knowledge and confidence when it counts.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you and tailor your approach to each one. Quality over quantity, folks!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. It shows your enthusiasm for the role and gives you another chance to highlight why you’re the perfect fit.
We think you need these skills to ace Compliance Associate (12 Month FTC) in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Associate role. Highlight your experience in compliance monitoring and any relevant regulatory knowledge. 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 the perfect fit for this role. Mention specific experiences that relate to compliance tasks like KYC/AML checks or managing regulatory reports.
Showcase Your Communication Skills: Since excellent communication is key for this role, make sure to demonstrate your ability to convey complex information clearly in your application. We love seeing candidates who can articulate their thoughts well!
Apply Through Our Website: Don't forget to apply 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 keen on joining our team!
How to prepare for a job interview at Rutherford
✨Know Your Compliance Stuff
Make sure you brush up on your compliance knowledge, especially around KYC/AML regulations and personal account dealing. Being able to discuss specific examples from your past experience will show that you’re not just familiar with the concepts but can apply them in real-world scenarios.
✨Showcase Your Organisational Skills
Since the role requires excellent organisational skills, prepare to discuss how you manage multiple tasks and priorities. Bring examples of how you've successfully handled compliance monitoring or regulatory onboarding processes in your previous roles.
✨Be Ready for Scenario Questions
Expect scenario-based questions where you might need to identify control gaps or suggest remediation strategies. Practise articulating your thought process clearly, as this will demonstrate your analytical skills and ability to think on your feet.
✨Communicate Effectively
As communication is key in compliance roles, practice explaining complex compliance topics in simple terms. This will not only help you during the interview but also show that you can deliver compliance training effectively if hired.