Associate Compliance Specialist - Meredith Brown Associates

Meredith Brown Associates; London; On-site; GBP 100,000 - 125,000; Full time

Job description

Job Description

Role & Responsibilities

• Provide advice and guidance to the business on regulatory and compliance issues as required (such as MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance, SFDR, SMCR, etc).
• Provide review and sign-off of marketing materials and provide advisory support on compliance matters relating to the firm’s distribution activities in Europe.
• Assist with the conduct of risk assessments, gap analysis, monitoring, and testing as part of the overall Compliance Monitoring Plan (CMP).
• Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests in a timely manner.
• Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
• Supervise some US Compliance activities where appropriate, such as monitoring of personal trading (no need to be a US regulatory expert), as well as supporting and liaising with overseas offices.
• Be responsible for ensuring all information security processes, policies, and procedures are adhered to and any issues or concerns are raised with the Cyber Security team.

Key Requirements

• The ideal candidate will have 2-3 years’ experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment.
• Candidates will also have a good working knowledge of financial services regulation, in particular, good knowledge of FCA and European rules as well as the communication and organisational skills necessary for the role.
• Ability to work with a degree of independence and escalate issues when necessary.
• Ability to interact with multiple levels in an organisation in an international environment.
• Ability to prioritise, multi-task, and manage expectations and time in a fast-paced environment with shifting demands.
• Good organisational, research, and project management skills.
• Strong financial and business awareness.
• A legal background would be advantageous.
• This is a chance to work in a high-profile firm and ensure the compliance function is both robust and fit to support the business.

Background & Experience

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to provide feedback on all applications; only successful candidates will be contacted.