Compliance Associate – EXCLUSIVE

Compliance Professionals; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A wealth management firm in London is seeking a compliance professional to support investment compliance oversight activities and assist with compliance monitoring. Ideal candidates will have previous experience in compliance within Asset Management or Fund Administration and possess knowledge of MIFID II and AML regulations. Strong attention to detail is essential. This role ensures adherence to consumer duty and good client outcomes.

Qualifications

• Previous compliance experience in Asset Management, Fund Administration or Management Company environment.
• Experience in investment operations looking to transition to investment compliance may be considered.
• Experience of performing monitoring activities, audits or reviews.

Responsibilities

• Support the SMF 16/17 in investment compliance oversight activities.
• Assist with compliance monitoring and ensure evidence is stored appropriately.
• Review and approve financial promotions.
• Monitor PA dealing requests and Gifts and Entertainment.
• Assist the team with management information for Committee and Board reports.

Skills

Attention to detail

Knowledge of MIFID II

Knowledge of UCITS

Knowledge of AIFMD requirements

Knowledge of AML and financial crime

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:

• Support the SMF 16/17 in all investment compliance oversight activities.
• Assist with compliance monitoring activities, ensuring that relevant evidence, process and proposed enhancements are stored and executed appropriately.
• Ensure compliance policies are reviewed and updated on a regular basis.
• Provide input into fund compliance projects as required.
• Review breaches and operational errors, liaising with the Management Company to ensure satisfactory resolutions.
• Monitor PA dealing requests and Gifts and Entertainment.
• Review and approve financial promotions.
• Assist the team in the preparation of management information for Committee and Board reports.
• Assist the team in due diligence requests and audits.
• Assist the SMF17 in all areas of AML & Financial crime
• Adherence to consumer duty and ensuring good client outcomes.

EXPERIENCE REQUIRED:

• Previous compliance experience in an Asset Management, Fund Administration or Management Company environment necessary.
• Candidates with previous experience in an investment operations role looking to move to investment compliance may be considered.
• Experience of performing monitoring activities, audits or other forms of reviews.
• 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.
• Candidates must have a high level of attention to detail.

For further information please contact Duncan Jeffery