At a Glance
- Tasks: Monitor trades and ensure compliance with investment policies while educating portfolio managers.
- Company: Join a leading asset management firm committed to customer trust and innovative solutions.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Dynamic team focused on process improvement and regulatory collaboration.
- Why this job: Make a real impact in the financial services industry while working with top professionals.
- Qualifications: Strong academic background and experience in compliance or trade monitoring preferred.
The predicted salary is between 40000 - 50000 £ per year.
The Role
- Daily trade monitoring for specific equity, fixed income and alternative funds to ensure that investment policy limitations are followed.
- Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting.
- Providing the Asset Management Compliance leadership team with information on current trends and issues recognised during assignments, and recommending & implementing strategies plans for improvement.
- Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders.
- Supporting the Asset Management Information Barrier programme, including assessing inadvertent receipt of non-public information, establishing, and removing information barriers.
- Working with the team to ensure ongoing collaboration with local and global regulators, and to support regulatory change projects.
The Expertise and Skills You Bring
- Strong academic track record (with undergraduate degree in a business-related discipline preferred).
- 1-4 years’ experience in asset management compliance or trade monitoring would be a strong advantage.
- Candidates from other core financial services functions (operations, risk, etc.) with an interest in compliance are encouraged to apply.
- Excellent communication skills, with confidence presenting to senior investment professionals and management.
- Strong analytical skills, resourcefulness, problem-solving abilities, and attention to detail.
- Valued teammate with good interpersonal skills and like to work collaboratively across functions.
- Interested in identifying key opportunities for process improvement through technology solutions.
The Team
Asset Management Compliance (“AMC”) works closely with Fidelity’s investment teams across all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies in the interest of promoting customer trust and confidence in Fidelity. AMC is committed to driving Fidelity forward through business partnership and stewardship, platform modernisation, and talent development. AMC associates are focused on delivering sound guidance and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the financial services industry. The Compliance Advisor will be responsible for proactively reducing the risk of trade error and portfolio compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations. As part of the AMC UK team, they will be the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance in relation to Equity, Fixed Income, High Income, and FX trading.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Advisor
✨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 Soteria Reinsurance Ltd. looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Advisor
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 Soteria Reinsurance Ltd.. 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 Soteria Reinsurance Ltd.
✨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 Soteria Reinsurance Ltd.’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
