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- Tasks: Oversee compliance for investment advisory, manage policies, and ensure regulatory adherence.
- Company: Dynamic financial services firm with ambitious growth plans.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Join a critical role in shaping compliance and making a real impact in finance.
- Qualifications: 4+ years in FCA-regulated compliance, strong analytical skills, and excellent interpersonal abilities.
- Other info: Opportunity for career advancement in a fast-paced, collaborative setting.
The predicted salary is between 36000 - 60000 £ per year.
Our client is seeking a Compliance Officer to help build out and oversee compliance for the regulated investment advisory business, and play a critical role in their ambitious future plans. Suitable for someone with 4+ years of experience working in an FCA-regulated compliance role.
Responsibilities:
- The role is a generalist position with the opportunity to work on a broad scope of matters, ranging from Code of Ethics management, designing and carrying out testing and training, policy development, compiling regulatory filings, marketing material review, allocation and investment management oversight, and information security.
- The Compliance Officer will be responsible for the continued development, implementation, improvement, maintenance, and monitoring of compliance requirements internally.
- Maintain a working knowledge of relevant compliance initiatives, rules, and regulations, and act as a resource when appropriate, in particular with respect to relevant regulatory developments.
- Develop and manage the compliance program, and promote and maintain the culture of compliance.
- Interact with personnel on issues related to the Code of Ethics, such as pre-clearance of personal trades, gift and entertainment requests, and questions regarding the FCA compliance manual.
- Assist with information requests from relevant regulators in consultation with the CCO.
- Perform KYC and AML analysis and assist the deal teams in preparing due diligence reports.
Application requirements:
- Bachelor’s degree, with a strong academic record from an accredited university.
- 4+ years of relevant work experience in a compliance or regulatory role, with a strong preference for demonstrated experience in asset management.
- Previous employment with a financial regulator or previous oversight of a compliance program within a substantial regulated investment adviser.
- Excellent interpersonal skills, with an ability to interface with colleagues at all levels and in all departments.
- Proven ability to handle stressful situations, a diverse and high-volume workload, and provide legal advice in a calm and professional manner.
- Flexibility and strong analytic and problem-solving abilities.
For more information about this position, please get in touch. Poppy.Taylor@ssq.com / 07534087340
Seniority level: Associate
Employment type: Full-time
Job function: General Business
Industries: Real Estate and Financial Services
Compliance Officer - Asset Management employer: SSQ
Contact Detail:
SSQ Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Asset Management
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who have experience in compliance. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We recommend creating a cheat sheet of key topics to discuss, so you can showcase your expertise and confidence during the interview.
✨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 fit your skills, making your application stand out!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can leave a lasting impression. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Compliance Officer - Asset Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your 4+ years of FCA regulatory experience and any relevant skills that match the job description. We want to see how your background fits with our ambitious plans!
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this position. Share specific examples of your compliance work, especially in asset management, and how you've contributed to a culture of compliance in your previous roles.
Showcase Your Interpersonal Skills: Since this role involves interacting with colleagues at all levels, make sure to highlight your excellent interpersonal skills. We love candidates who can communicate effectively and handle stressful situations with ease!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at SSQ
✨Know Your Regulations
Make sure you brush up on the latest FCA regulations and compliance requirements relevant to asset management. Being able to discuss these confidently will show that you're not just familiar with the rules, but that you can apply them in real-world scenarios.
✨Showcase Your Experience
Prepare specific examples from your 4+ years of experience that highlight your skills in compliance roles. Whether it's managing a compliance programme or handling KYC and AML analysis, having concrete stories ready will help you stand out.
✨Demonstrate Interpersonal Skills
Since this role involves interacting with various departments, be ready to discuss how you've successfully communicated compliance issues in the past. Think of instances where you’ve navigated tricky conversations or provided legal advice under pressure.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions about the company’s compliance culture or future regulatory challenges they foresee. This shows your genuine interest in the role and helps you gauge if it’s the right fit for you.
