Senior Compliance Associate – Asset Management

Compliance Professionals; Greater London; Presencial; GBP 50 000 - 70 000; Tempo integral

Resumo da oferta

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.

Qualificações

• 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.

Responsabilidades

• 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.

Conhecimentos

Asset management

FCA rules

Money laundering

Data protection

SEC knowledge

Attention to detail

Level 4 qualification

AI tools

MS Office

Formação académica

Level 4 financial services benchmark

Ferramentas

Microsoft Word

Microsoft Excel

PowerPoint

Descrição da oferta de emprego

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.