Compliance Associate

Cambridge Associates LLC; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading global investment firm seeks a Compliance Associate for its London office. This pivotal role involves enhancing compliance frameworks, ensuring regulatory adherence, and delivering training. The ideal candidate will have a strong compliance background and excellent interpersonal skills, essential for fostering a robust compliance culture across the firm.

Qualifications

• Minimum of 2 years of compliance experience in institutional asset management or relevant financial sector roles.
• Familiarity with UK and European regulatory frameworks, including MiFID II, AIFMD, and FCA Rules.
• Ability to work independently and in a team environment.

Responsibilities

• Perform and document controls testing under the Compliance Monitoring Programme.
• Assist with Regulatory Reporting and the Regulatory Data Initiative Project.
• Develop and refine compliance policies and procedures.

Skills

Communication

Analytical skills

Relationship building

Job description

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Cambridge Associates (“CA”) is a leading global investment firm. CA’s goal is to help endowments & foundations, pension plans, and ultra-high net worth private clients implement and manage custom investment portfolios that generate outperformance so that they can maximize their impact on the world. Cambridge Associates delivers a range of services, including outsourced CIO, non-discretionary portfolio management, and investment consulting.

Position Summary:

We are seeking a Compliance Associate to join our London office, reporting to the Head of Compliance. This role will be pivotal in strengthening our group compliance frameworks, ensuring regulatory adherence, and maintaining our reputation for excellence in the investment industry.

Key Responsibilities:

• Perform and document controls testing under the firm’s Compliance Monitoring Programme.

• Assist with Regulatory Reporting and the firm’s global Regulatory Data Initiative Project.

• Monitor, interpret and implement new regulatory requirements.

• Develop and refine compliance policies and procedures.

• Advise the firm’s Client Information Management team on AML/KYC matters.

• Deliver regulatory training and guidance to employees.

• Assist with internal and external audits.

• Prepare reports for the firm’s management committees and board.

• Contribute to regulatory and business projects; and

• Promote a robust compliance culture across the firm.

Qualifications:

• Minimum of 2 years of compliance experience in institutional asset management or relevant financial sector roles

• Familiarity with UK and European regulatory frameworks, including MiFID II, AIFMD, and FCA Rules

• Strong communication and analytical skills

• Proven ability to build collaborative relationships across all levels of the organisation

• Ability to work independently and in a team environment to manage and deliver high-quality results

• Operates with the highest level of integrity and confidentiality

The firm is committed to the concept and practice of equal employment opportunity and will not discriminate against any employee or applicant on the basis of race, color, religion, age, sex, national origin, sexual orientation, gender identity, disability, or veteran status. It is expected that all employees will follow a similar policy toward their co-workers.