Compliance & Risk Associate

Marks Sattin; Greater London; On-site; GBP 60,000 - 75,000; Full time

Job summary

A prominent investment management firm in London is seeking an experienced Compliance Generalist to support compliance and regulatory matters for funds. The ideal candidate should have over 4 years of experience, especially in compliance roles within fund management, along with a strong understanding of FCA regulations. This position offers an opportunity to engage in compliance monitoring and policy reviews in a growing sector.

Qualifications

• 4+ years of experience in Compliance Generalist roles, particularly in Fund Management.
• Experience with AIFM in private infrastructure markets.
• Strong understanding of FCA and UK regulatory environment.

Responsibilities

• Support compliance and regulatory matters for listed and private funds.
• Review compliance policies in line with regulatory changes.
• Prepare the Compliance Monitoring Plan and Risk Monitoring Plan.

Skills

Compliance within Fund Manager

Understanding FCA regulations

Risk Assessment

AML compliance

Job description

The Client: Renewable Infrastructure Investment Manager

The Location: London

Leaders in Renewable Infrastructure continuing to grow at an exceptional pace and is looking for an experienced Compliance generalist to report directly into the Head of Compliance

The Responsibilities

• Support the listed and private funds across all compliance and regulatory matters
• Review the firms compliance policies and procedures in line with regulatory changes
• Scoping and preparing the annual Compliance Monitoring Plan and Operational Risk Monitoring Plan
• Supporting the annual review of Risk Assessments at fund and asset level
• Reviewing service provider AML frameworks for compliance
• Updating and reviewing PLC PRIIPS KIDs and EMTs

The Requirements

• 4+ years within Compliance Generalist positions within a Fund Manager
• AIFM experience ideally within private infrastructure markets
• Understanding of FCA and UK regulatory environment
• Private Assets experience and understanding would be a massive plus!