Compliance Associate – Private Credit

TN United Kingdom; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is seeking a Compliance Associate to enhance their Legal & Compliance function. This role is pivotal in managing the Compliance Monitoring program and ensuring adherence to FCA regulations. The ideal candidate will have a strong background in Compliance, preferably within Asset Management, and possess excellent analytical and communication skills. Join a dynamic team where your expertise will contribute to compliance initiatives and the successful launch of new funds. This is a fantastic opportunity to make a significant impact in a niche fund management business.

Qualifications

• 3+ years of Compliance experience in Asset Management.
• Strong knowledge of FCA regulations and Compliance Monitoring.

Responsibilities

• Manage Compliance Monitoring and provide technical advice on FCA regulations.
• Develop and enforce compliance policies and prepare employee certifications.

Skills

Compliance Monitoring

FCA Regulations

Analytical Skills

Report Writing

Communication Skills

Education

Bachelor's Degree in Law or Finance

Job description

Social network you want to login/join with:

Compliance Associate – Private Credit, London

Client:

CLARC Recruitment

Location:

London, United Kingdom

Job Category:

Finance

EU work permit required:

Yes

Job Reference:

8b32c4a31b78

Job Views:

9

Posted:

26.04.2025

Expiry Date:

10.06.2025

Job Description:

A niche fund management business is looking to hire a Compliance Associate to join their Legal & Compliance function in a generalist role. The position will cover Compliance Monitoring alongside a range of other Compliance duties. If a candidate also has a Legal skillset, this may also be of use.

Main Responsibilities:

• Manage the Compliance Monitoring programme on a day-to-day basis.
• Offer clear, consistent technical advice on FCA regulations to peers.
• Develop and enforce the firm’s compliance policies and practices.
• Prepare and update employee certifications as per the FCA’s certification regime.
• Anticipate and assess the effects of upcoming regulatory updates.
• Support or manage daily compliance supervision and monitoring tasks like market soundings, maintaining the restricted list, advising on trading restrictions, conflicts of interest, marketing approvals, client classification, and research handling.
• Contribute compliance perspectives to various projects, including new fund launches and other business initiatives.

Job Requirements:

• At least 3 years Compliance experience working within a similar Asset Management business.
• Strong generalist Compliance knowledge, including Compliance Monitoring.
• Legal background, preferable.
• Excellent analytical, report writing & presentation skills.
• Strong communication skills, comfortable interacting with individuals across the business.

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.