Senior Compliance Associate

Compliance Professionals; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

Compliance Professionals in London seeks an asset-management compliance professional to join the Private Client team. You will conduct and document Customer Due Diligence for new clients and help oversee ongoing regulatory compliance.

The role covers monitoring UK and US requirements, preparing reports, reviewing promotions, and supporting policy development. You will collaborate with US colleagues, assist in training, and contribute to committee materials.

Qualifications

• 2+ years of asset management compliance experience.
• Familiarity with FCA rules and AML requirements.
• Data protection knowledge.
• SEC knowledge a plus.
• Level 4 compliance qualification preferred.
• Ability to manage multiple tasks to deadlines.
• Proficiency with MS Office and AI tools.

Responsibilities

• On-board new clients with due diligence.
• Conduct compliance monitoring for UK/US rules.
• Produce regulatory reports (e.g., FCA GABRIEL).
• Develop and maintain compliance documentation.
• Review financial promotions and fund materials.
• Assess suitability of private client portfolios.
• Prepare training and briefings.
• Provide compliance guidance to the business.
• Liaise with US colleagues in compliance.
• Assist in reports and committee papers.
• Participate in regulatory projects and processes.
• Support UCITS product governance.

Skills

Asset management

FCA rules

Money laundering

Data protection

SEC knowledge

Attention to detail

Level 4 qualification

AI tools

MS Office

Education

Level 4 financial services benchmark

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

THE COMPANY:

Our client is a leading advisory firm, providing investment management services for individuals, families, charities and institutions.

THE RESPONSIBILITIES:

• Working with the Private Client team to on-board new clients, including conducting and documenting Customer Due Diligence.
• Compliance monitoring activity, covering applicable UK and US requirements.
• Regulatory reporting (for example, using the FCA GABRIEL system).
• Contributing to policy and procedure development, and maintenance of relevant compliance registers and documentation.
• Reviewing financial promotions and publications, including promotional material for the Funds and strategies.
• Reviewing suitability of private client portfolios.
• Preparing and assisting in the delivery of training and briefings.
• Supporting the business, providing advice and dealing with queries.
• Liaising with US colleagues in compliance and other areas, representing UK compliance in meetings.
• Assisting in the preparation of reports and committee papers.
• Participating in projects relating to new regulation and new processes.
• Product governance and support for the institutional team in respect of the UCITS funds.

EXPERIENCE REQUIRED:

• 2+ years of experience.
• Prior experience working in an asset management compliance role.
• Familiarity with UK regulatory requirements, including FCA rules, money laundering requirements and data protection.
• Knowledge of SEC requirements and other jurisdictions would be an advantage.
• Exceptional attention to detail, good interpersonal skills, and an orientation towards the achievement of team goals.
• Level 4 financial services benchmark qualification – e.g. Investment Management Certificate, or similar (qualifications in compliance, risk and/or money laundering) would be an advantage.
• Capable of prioritizing and executing multiple tasks and projects in a dynamic, deadline-oriented environment.
• Working knowledge of Microsoft Word, Excel and PowerPoint and a willingness to use ChatGPT and other AI tools.

For further information please contact Spencer Evans