Compliance Associate - Asset Management

Michael Page (UK); City Of London; Hybrid; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is seeking a Compliance Associate to join their boutique Asset Management firm. The role involves enhancing the Compliance Monitoring Program, conducting compliance reviews, and ensuring adherence to regulatory standards. With a focus on market abuse monitoring and trade oversight, this position offers a dynamic environment where your expertise will directly influence compliance practices. The company promotes a flexible and hybrid working policy, along with a competitive compensation package and a strong bonus structure, making it an exciting opportunity for those with a passion for compliance in investment management.

Benefits

Competitive compensation package

Flexible working policy

Hybrid working policy

Strong bonus structure

Qualifications

• 5+ years' experience in compliance or operational risk in investment management.
• Strong execution focus with ability to work independently and in teams.

Responsibilities

• Enhance the Compliance Monitoring Program and conduct periodic reviews.
• Ensure policies and procedures are updated and communicated effectively.

Skills

Compliance Monitoring

Market Abuse

Financial Promotions

Trade Oversight

Attention to Detail

Organizational Skills

Communication Skills

Job description

• Compliance Associate role within a boutique Asset Management firm
• Compliance Monitoring, Market Abuse, Financial Promotions, Trade Oversight

About Our Client

Our client is a specialist active investment management company offering professional and institutional investors a range of fundamentally research-driven funds diversified by asset class, geography and sector specialisation.

Job Description

• Ongoing review and enhancement to the Compliance Monitoring Program, controls and monitoring and working with management and desk heads on controls.
• Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to the Compliance team.
• Review of financial promotions in line with FCA COBS rules and other jurisdictions where funds are registered (EU, US and globally).
• Trade oversight, market abuse monitoring, and long/short disclosures internationally.
• Ensure that policies, procedures and standards of conduct are updated in line with regulatory changes, communicated, understood and appropriately implemented within the office; deliver training as required.

The Successful Applicant

• 5+ years' experience within the investment management industry (or similar) in a compliance or operational risk role.
• Self-starter with strong execution focus and ability to work independently as well as part of a team.
• Good business acumen to identify and connect compliance risks across the organisation.
• High level of attention to detail.
• Good organisational and communication skills (both written and verbal).

What's on Offer

• Competitive compensation package
• Flexible working policy
• Hybrid working policy
• Strong bonus structure