Compliance Associate

Compliance Professionals; Greater London; On-site; GBP 38,000 - 52,000; Full time

Job summary

Compliance Professionals is recruiting a Compliance Associate for a buy-side fund based in the City of London. The role involves delivering regulatory guidance across Investment, Client, Product, Distribution and Operations, and supporting the monitoring programme and governance of regulated entities.

The successful candidate will have 2–3 years of generalist/monitoring experience in asset or wealth management, strong UK regulatory knowledge, and be highly organised and proactive in a fast-paced

Qualifications

• Generalist/Monitoring experience in asset or wealth management.
• Proactive and authoritative in approach.
• Strong UK regulatory knowledge is required.
• Highly organised and detail-oriented.

Responsibilities

• Support delivery of regulatory advice to the Partnership for day-to-day and change activities across Investment, Client, Product, Distribution & Operations.
• Assist with Compliance Monitoring and Surveillance plan through monitoring and surveillance activities.
• Manage and develop workflows and record keeping for staff personal compliance obligations.
• Support operation of Compliance team frameworks including anti-financial crime, training, reporting, regulatory change and policies.
• Assist in reviewing and approving financial promotions and account openings.
• Support governance and administration activities related to the Partnership’s regulated entities.
• Participate in advisory, regulatory change, operations and anti-financial crime activities as directed by the Head of Compliance.

Skills

Regulatory knowledge

Asset/wealth management experience

Attention to detail

Organisational skills

Proactive

Job description

Our client is a successful open-end investment fund based in the City. They are looking for a Compliance Associate to join the team - Buy-side generalist with 2-3 years experience.

THE RESPONSIBILITIES:

• Supporting the delivery of high-quality regulatory advice to the Partnership for day to day and change activities across the key business areas including Investment, Client, Product, Distribution & Operations.
• Supporting the execution of the Compliance Monitoring and Surveillance Plan through performance of monitoring and surveillance activities.
• Managing, supporting and developing workflows and record keeping in respect of staff personal compliance obligations.
• Supporting the efficient operation of Compliance team frameworks including for anti-financial crime, training, reporting, regulatory change and regulatory policies.
• Supporting and participating in the activities for reviewing and approving financial promotions and account openings.
• Supporting the governance and administration activities in relation to the Partnership’s regulated entities.
• Participating in other activities including for advisory, regulatory change, operations and anti-financial crime as mandated by the Head of Compliance.

EXPERIENCE REQUIRED:

• Generalist/Monitoring experience in asset or wealth management
• Proactive and authoritative
• Strong UK regulatory knowledge
• Highly organised and detail-oriented

For further information please contact Spencer Evans