Close this search box.

Lucy Gudgeon

Junior Compliance Executive |

Why do you enjoy your job?

I am part of the front office monitoring team within Compliance; it involves overseeing front office processes to ensure they meet the regulatory requirements. A lot of the monitoring is around the Market Abuse Regulation (MAR) and it is this area which I find particularly interesting. I am suited to this role because of my interests in the legal aspects of the financial sector. The skills which I find useful for this role are the ability to pay close attention to detail and the ability to work under time pressures. The research skills which I developed as part of my degrees have also been useful when looking closely at different aspects of regulatory requirements.

What is the most challenging thing about your job?

The most challenging part of my role is in conveying issues found through the monthly monitoring to the investment teams so they understand what needs to be rectified but do not feel criticised. I also find it challenging to be confident with my judgement on issues given my level of experience, but I believe this is something that will only come as I develop my skillset and expertise within the role.

How did you get into your job?

I started this job straight from university having completed my Masters in International Political Economy and an undergraduate degree in Economics and Management. I was looking for a graduate job in compliance but most roles in compliance require several years of experience.

From the start my team was very welcoming and my manager has been supportive in all the work I do, making sure that I understand what I am doing and giving me the opportunity to broaden my skillset. The experience has been a great opportunity to learn how the industry works and get specific experience in an area I was already very interested and develop my career from there.

What are your future aspirations?

I am hoping to further my career in compliance with the goal of building a career in financial crime prevention and investigation. I am keen to gain more experience in compliance and the financial sector in order to achieve this goal.

How would you sum up your Investment20/20 experience?

The Investment20/20 scheme offered an opportunity to work within the specific area I was interested in without previous experience while also providing lots of financial and business training as part of the scheme. I have found it a great way to build up confidence for the work place and learn vital skills to build a career in the financial sector.

Related stories:

Operations Trainee Corporate Actions,
Jupiter Asset Management,
Marketing Information Executive Trainee,
Legal & General Investment Management,
Valuations Analyst Trainee,