Senior Compliance Associate (office based)

Compliance Professionals; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a compliance professional to oversee compliance for multiple entities. This role involves monitoring compliance activities, conducting thematic reviews, and managing trade surveillance processes using specialized systems. With a focus on maintaining high standards of compliance, this position offers the opportunity to work in a dynamic environment, ensuring adherence to regulations while supporting the firm's growth. If you have a passion for compliance and a desire to make a meaningful impact, this role could be the perfect fit for you.

Qualifications

• 2+ years of compliance experience, ideally in buy-side.
• Experience in trade surveillance and compliance monitoring.

Responsibilities

• Oversee compliance for three entities within the group.
• Conduct thematic reviews and manage trade surveillance.

Skills

Compliance Monitoring

Trade Surveillance

Communications Surveillance

AIFMD Knowledge

UCITS Knowledge

Memo Writing

Tools

TZ Trade Surveillance

SteelEye

Enfusion Compliance Module

Job description

THE COMPANY: Our client partners with exceptional managers and hedge funds to create leading funds globally. THE RESPONSIBILITIES: The role will cover the compliance for three entities within the group and will consist of the following main responsibilities:

• General Compliance Monitoring
• Thematic Reviews
• Trade Surveillance (we use TZ Trade Surveillance system)
• Communications surveillance (we use SteelEye)
• Managing about 600 pre-and post trade investment restriction rules in the Enfusion Compliance Module (trade restrictions)
• Ad Hoc queries

EXPERIENCE REQUIRED:

• Minimum of two years of work experience in compliance, ideally buy-side.
• The following experience is beneficial to the role:
• General compliance monitoring experience
• Monitoring memo writing
• Trade surveillance experience
• Knowledge of AIFMD and UCITS

For further information, please contact Duncan Jeffery