Associate Investment Manager - Compliance Recruitment Solutions

ZipRecruiter; London; Hybrid; GBP 45,000 - 55,000; Full time

Job summary

A leading Investment Management Group is seeking a Compliance Monitoring Associate to oversee compliance activities of Appointed Representatives and AIFMs. The role involves monitoring, risk assessment, and relationship management within the asset management sector. Ideal candidates will have at least three years of relevant experience.

Benefits

Bonus

Work from Home (3 days a week)

Qualifications

• At least three years experience in compliance monitoring within financial services.

Responsibilities

• Monitor activities of a portfolio of Appointed Representatives and AIFMs.
• Identify risks and produce management information in accordance with the Risk Management Framework.
• Enhance understanding of the regulatory landscape.

Skills

Compliance Monitoring

Risk Management

Regulatory Understanding

Job description

Job Description

COMPLIANCE MONITORING ASSOCIATE– COMPLIANCE MONITORING (ASSET SERVICING OR INVESTMENT MANAGEMENT) REQUIRED

£45K - £55K + Bonus & Bens Hybrid (3d pw WFH) London

Ref:4115D

We are recruiting a compliance monitoring associate for our client, a leading Investment Management Group. The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and AIFMs such that risks can be assessed and managed. In particular

• Carrying out ongoing monitoring as per the CMP
• Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate
• Identifying risks and producing management information (MI) in accordance with the Risk Management Framework
• Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives
• Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
• Taking responsibility for own progression including learning & development objectives
• Following the set policies and procedures around managing conduct risk and appropriate AR oversight

You should have at least three years experience undertaking compliance monitoring within financial services with an asset management or wealth management focus

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at [e-mail] (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.