Associate Director Compliance - Investment Management

eFinancialCareers; London; On-site; GBP 70,000 - 100,000; Full time

Job summary

A leading asset manager is seeking an Associate Director of Compliance. This role involves advising on regulatory changes, conducting compliance reviews, and ensuring adherence to regulations. The successful candidate will benefit from a dynamic environment with opportunities for personal and professional development.

Qualifications

• Minimum of 5 years of experience within asset management.
• AIFM knowledge is highly beneficial.
• Strong control and risk awareness.

Responsibilities

• Advise the business on compliance with regulatory requirements.
• Oversee company marketing materials for compliance.
• Facilitate accurate regulatory disclosures and filings.

Skills

Ability to prioritize workloads

Control and risk awareness

Impeccable ethical standards

Job description

Associate Director Compliance - Investment Management

Associate Director Compliance - Investment Management

An excellent role at a top-tier AIFM asset manager

The firm manages multi billion AUM assets for a broad range of institutional clients.

The Compliance and Risk Officer shares responsibility for the accurate and timely delivery of Compliance and Risk assurance programme; that encapsulates critical advisory and monitoring obligations

This is an exciting, varied and hands-on role which will provide an excellent platform for personal and professional development. The position also offers experience of a very broad variety of compliance and risk issues with international regulatory coverage, in particular the UK/EU and US.

Key Tasks will include:

Advising the business to ensure compliance with all applicable regulatory requirements, managing future regulatory change
Advising on regulatory change projects; conducting gap analysis; and delivery of in-depth thematic reviews. Participate in trade body responses to consultations on regulatory matters.
Oversight of company marketing materials. Compliance review of all relevant client/prospect/consultant communications (e.g. presentations, reports, DDQs, RFPs, website updates) in an accurate, commercial and timely manner.
Daily review of cash, trade and position data. User of the Order Management System in creating and modifying system rules and clearing daily alerts.
Team work leading to the accurate and timely input, review and oversight of client restrictions including reviewing the breach finder
Facilitating the accurate, timely filings of statutory / regulatory disclosures and filings (in particular large holdings and takeover panel disclosures).
Responsible for the completion of security set-up checks and activation.
Working with the team on anti-financial crime activities, including financial crime risk assessments; AML reviews; sanction screening; market abuse and other financial crime monitoring.

Assisting with updates to Risk Control Self-Assessments (RCSAs), Key Risk Indicators (KRIs) and risk incidents write-ups (e.g. ensuring an appropriate write up is produced by the first line and ensuring that remedial work is completed as per the agreed actions).

Oversight and facilitation of the annual Audit & Assurance of Internal Controls report; including support of business units as needed.
Helping to maintain and update business continuity management system documentation.

Acting as a firm super user of the firm’s Compliance/Risk system ensuring accuracy of records.
Updating and collating management information for management review
Participation at internal meetings, including the production of relevant reporting and papers for senior management meetings.
Supporting the team with on-going projects, ad-hoc requests and administration

Candidate Profile

Minimum of 5 years of experience within asset management

AIFM knowledge highly beneficial
Proven ability of working to tight deadlines, through an ability to prioritise and manage workloads.
Ability to identify when issues should be escalated. Strong control and risk awareness.
Highest level of professionalism, confidentiality, discretion and judgement.
Impeccable ethical standards.
Good network and knowledge of industry trends and developments.

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