At a Glance
- Tasks: Support compliance activities and manage regulatory reporting in a dynamic investment management environment.
- Company: Leading alternative investment management firm with a collaborative culture.
- Benefits: Competitive salary, bonus, comprehensive benefits, and hybrid working model.
- Other info: Excellent career development opportunities in a high-performing team.
- Why this job: Gain exposure to senior stakeholders and make an impact in compliance.
- Qualifications: 4-8 years of compliance experience and strong understanding of financial regulations.
The predicted salary is between 50000 - 60000 £ per year.
A leading alternative investment management business is seeking a Compliance Associate to join its London-based compliance team. This is an excellent opportunity for a compliance professional looking to broaden their exposure across a wide range of regulatory and advisory responsibilities within a sophisticated investment management environment. Reporting into senior compliance leadership, you will play a key role in supporting both UK and global compliance activities while working closely with front-office, operations, technology and legal stakeholders.
Key Responsibilities
- Manage regulatory reporting and disclosures, including short and long position reporting and MiFIR transaction reporting.
- Process market soundings, early-look meeting requests and Regulation M reviews.
- Maintain and administer restricted lists and related trading controls.
- Conduct compliance monitoring activities across communications, trading activity and best execution.
- Support Fitness & Propriety reviews under the FCA Certification Regime.
- Review and document trading errors and related remediation actions.
- Perform vendor due diligence reviews.
- Provide regulatory and policy guidance to front-office and business stakeholders.
- Assist in the delivery of compliance training programmes.
- Contribute to compliance monitoring reviews and ad hoc regulatory projects.
- Partner with technology, operations and IT teams on daily compliance processes and controls.
- Monitor domestic and international regulatory developments and assess potential business impact.
Essential Experience
- 4–8 years' compliance, regulatory or financial crime experience gained within an asset manager, investment bank, hedge fund or other regulated financial services environment.
- Experience supporting trading or investment teams in a compliance advisory capacity.
- Strong understanding of financial markets regulation and compliance controls.
- Undergraduate degree or equivalent qualification.
Highly Desirable
- Experience with UK and European short position disclosure regimes.
- Exposure to MiFIR transaction reporting requirements.
- Familiarity with trade surveillance, monitoring and front-office advisory work.
Personal Attributes
- Strong analytical and problem-solving skills.
- Exceptional attention to detail.
- Excellent written and verbal communication abilities.
- Confident interacting with front-office professionals and senior stakeholders.
- Self-motivated with the ability to manage competing priorities.
- Strong organisational and teamwork skills combined with the ability to work independently.
What's on Offer
- Competitive base salary.
- Discretionary bonus.
- Comprehensive benefits package.
- Hybrid working model with flexibility.
- Significant exposure to senior stakeholders and investment professionals.
- A collaborative and high-performing team environment with strong opportunities for long-term career development.
Compliance Associate in London employer: Taylor Root
At Taylor Root, we pride ourselves on being an exceptional employer, offering a dynamic work culture that fosters creativity and collaboration in the heart of London. Our commitment to employee growth is evident through tailored development opportunities and a supportive environment where innovative legal solutions thrive. Join us to be part of a forward-thinking team that values your expertise and encourages meaningful contributions to our exciting creative business.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate in London
✨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 Taylor Root looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Associate in London
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 Taylor Root. 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 Taylor Root
✨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 Taylor Root’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
