Compliance Associate - Asset Management

ZipRecruiter; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading asset management firm in London seeks a Compliance Associate to support their compliance program. This role requires a strong understanding of UK financial regulations and prior experience in compliance within investment management. The ideal candidate will possess excellent analytical skills and attention to detail. Responsibilities include regulatory monitoring, compliance training, and client onboarding. Competitive salary offered.

Qualifications

• 1-3 years in a generalist compliance role at an investment management firm.
• Strong knowledge of UK financial regulations and industry best practices.
• Excellent attention to detail.

Responsibilities

• Stay abreast of relevant financial regulations including AIFMD and FCA guidelines.
• Develop and maintain compliance policies and procedures.
• Conduct compliance training and client onboarding.

Skills

Understanding of financial regulations

Analytical skills

Problem-solving

Communication skills

Education

Bachelor's degree in Finance, Economics, Law, or a related field

Job description

Job Description

Compliance Associate – Asset Management - London

Company Overview:

Our client is an institutional asset manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Associate to join their Compliance team and contribute to the success and growth of the firm.

Role Overview:

As a Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for monitoring and ensuring adherence to applicable regulations, policies, and procedures. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.

Key Responsibilities:

· Regulatory compliance: Stay abreast of relevant financial regulations, including but not limited to AIFMD and other FCA guidelines.

· Thematic reviews and testing

· Develop and maintain compliance policies and procedures

· Regulatory filing

· PA dealing

· G&E

· Compliance training

· Client onboarding (AML and KYC)

· Ad hoc project work

Requirements:

· Bachelor's degree in Finance, Economics, Law, or a related field.

· Prior experience (1-3 years) in a generalist compliance role working for an investment management firm.

· Strong knowledge of UK financial regulations and industry best practices.

· Excellent analytical and problem-solving skills with high attention to detail.

· Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.

If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.

For more details, please contact Jon Pettet at [e-mail]