Compliance Professionals
Compliance Associate
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THE COMPANY:
Our client is a successful open-end investment fund based in the City. They are looking for a Compliance Associate to join the team - Buy-side generalist with 2-3 years experience.
THE RESPONSIBILITIES:
- Supporting the delivery of high-quality regulatory advice to the Partnership for day to day and change activities across the key business areas including Investment, Client, Product, Distribution & Operations.
- Supporting the execution of the Compliance Monitoring and Surveillance Plan through performance of monitoring and surveillance activities.
- Managing, supporting and developing workflows and record keeping in respect of staff personal compliance obligations.
- Supporting the efficient operation of Compliance team frameworks including for anti-financial crime, training, reporting, regulatory change and regulatory policies.
- Supporting and participating in the activities for reviewing and approving financial promotions and account openings.
- Supporting the governance and administration activities in relation to the Partnership’s regulated entities.
- Participating in other activities including for advisory, regulatory change, operations and anti-financial crime as mandated by the Head of Compliance.
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EXPERIENCE REQUIRED:
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Your very own career expert that helps elevate your application to the next level.
- Generalist/Monitoring experience in asset or wealth management
- Proactive and authoritative
- Excellent communication skills
- Strong UK regulatory knowledge
- Highly organised and detail-oriented
For further information please contact Spencer Evans
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