Compliance Associate

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

Job summary

An established industry player is seeking a Compliance Associate to enhance their compliance frameworks in London. This pivotal role involves ensuring regulatory adherence, conducting controls testing, and developing compliance policies to maintain the firm’s reputation for excellence. The ideal candidate will possess a strong background in compliance within the financial sector, with a focus on UK and European regulations. Join a collaborative team dedicated to promoting a robust compliance culture, and contribute to impactful regulatory and business projects in a dynamic environment.

Qualifications

• Minimum of 2 years of compliance experience in institutional asset management.
• Familiarity with UK and European regulatory frameworks.

Responsibilities

• Perform controls testing under the Compliance Monitoring Programme.
• Monitor and implement new regulatory requirements.
• Deliver regulatory training and guidance to employees.

Skills

Compliance Experience

Analytical Skills

Communication Skills

Relationship Building

Regulatory Knowledge (MiFID II, AIFMD, FCA)

Job description

Firm Overview:

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.

Headquartered in Boston, Massachusetts, CA has offices in key markets in North America, the United Kingdom, Europe, Asia, and Oceania. Our worldwide teams ensure our clients benefit from decades of global presence, local expertise, and relationships with the top global investment managers across the world. For more information, please visit www.cambridgeassociates.com.

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:

1. Perform and document controls testing under the firm’s Compliance Monitoring Programme.
2. Assist with Regulatory Reporting and the firm’s global Regulatory Data Initiative Project.
3. Monitor, interpret and implement new regulatory requirements.
4. Develop and refine compliance policies and procedures.
5. Advise the firm’s Client Information Management team on AML/KYC matters.
6. Deliver regulatory training and guidance to employees.
7. Assist with internal and external audits.
8. Prepare reports for the firm’s management committees and board.
9. Contribute to regulatory and business projects.
10. Promote a robust compliance culture across the firm.

Qualifications:

1. Minimum of 2 years of compliance experience in institutional asset management or relevant financial sector roles.
2. Familiarity with UK and European regulatory frameworks, including MiFID II, AIFMD, and FCA Rules.
3. Strong communication and analytical skills.
4. Proven ability to build collaborative relationships across all levels of the organisation.
5. Ability to work independently and in a team environment to manage and deliver high-quality results.
6. 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.

Employees of Cambridge Associates Ltd / GmbH or an affiliated firm are prohibited from employment or other association with any company, organization, business, or other entity that is involved in any way with the securities or financial services industry except for those entities that are directly affiliated with Cambridge Associates Ltd/GmbH.

Employees are prohibited from acting as a Trustee or Director of, or accepting a similar position of responsibility with, any entity that is a client of or directly affiliated with a client of Cambridge Associates, Ltd/GmbH or any of its affiliated companies without prior written consent from the Chief Compliance Officer of Cambridge Associates, Ltd/GmbH.

Employees are prohibited from serving on the investment or finance committee of any company or organization with investable funds, or likely to develop investable funds, without prior written consent from the Chief Compliance Officer of Cambridge Associates, Ltd /GmbH.

If applying for the role, you need to inform the Recruiter if there are any potential conflicts with the above.