Compliance Associate – Asset Management

Compliance Professionals; London; On-site; GBP 40,000 - 70,000; Full time

Job summary

An expanding wealth management firm is seeking a compliance professional to support their monitoring and auditing activities. This role involves reviewing compliance policies, assisting with fund compliance projects, and ensuring adherence to regulations such as MIFID II and AML. The ideal candidate will have previous experience in a compliance role within Fund Administration or Asset Management and possess a keen attention to detail. Join a dynamic team where your contributions will enhance compliance practices and ensure excellent client outcomes in a fast-paced environment.

Qualifications

• Previous compliance experience in Fund Administration or Asset Management.
• Good knowledge of MIFID II, UCITS, AIFMD, and AML regulations.

Responsibilities

• Assist with compliance monitoring activities and reporting findings.
• Review compliance policies and ensure regular updates.
• Monitor PA dealing requests and Gifts and Entertainment.

Skills

Compliance Monitoring

Attention to Detail

Proactive Self-Starter

Knowledge of MIFID II

Knowledge of UCITS

Knowledge of AIFMD

AML and Financial Crime

Fund and Product Governance

Education

IMC Holder

CISI Compliance Exams

Job description

THE COMPANY: Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.

THE RESPONSIBILITIES:

1. Assist with compliance monitoring activities, recording evidence, reporting findings and proposing enhancements where appropriate.
2. Review compliance policies and ensuring these are regularly updated.
3. Provide input into fund compliance projects as required.
4. Review breaches and operational errors, liaising with the Management Company to ensure satisfactory resolutions.
5. Monitor PA dealing requests and Gifts and Entertainment.
6. Review and approve financial promotions.
7. Assist the team in the preparation of management information for Committee and Board reports.
8. Assist the team in due diligence requests and audits.
9. AML & Financial crime
10. Support the SMF16/17 and carry out any other duties as may reasonably be required.
11. Adherence to consumer duty and ensuring good client outcomes.

EXPERIENCE REQUIRED:

1. Previous compliance experience in a Fund Administration, Management Company or Asset Management environment necessary.
2. Experience of performing monitoring activities, audits or other forms of reviews.
3. The candidate is expected to have good knowledge in the following subjects: MIFID II, UCITS and AIFMD requirements, AML and financial crime, fund and product governance, systems and controls, conflicts of Interest, consumer duty.
4. Candidates must have a high level of attention to detail.
5. A proactive self-starter with the ability to work effectively in a busy and evolving environment.
6. Preferably an IMC holder or relevant CISI Compliance exams achieved.

For further information please contact Duncan Jeffery.