Robert Half
Compliance Associate - Alternative Asset Management firm
London
£60k – £80k/yr
Posted 1 day ago
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Compliance Associate
Alternative Asset Management firm
London (4 days in office, 1 day WFH)
£60K-£80K (depending on level of experience)
Permanent role
The Role
- Support the maintenance and operation of the Firm’s compliance framework in line with the FCA requirements (including MiFID II, AIFMD, and FCA Handbook rules).
- Assist with advising the business on regulatory obligations, policies and procedures, escalating issues where appropriate.
- Undertake regulatory horizon scanning, producing written and verbal updates on relevant regulatory and enforcement actions, with an assessment of their impact on the Firm.
- Support, implementation and execution of the annual Compliance Monitoring Programme.
- Conduct compliance monitoring reviews, document findings and track remedial actions.
- Assist with the ongoing monitoring of financial promotions & marketing, conflicts of interest, personal account dealing, gifts and hospitality, best execution and inducements, PEP lists, outsourcing and third-party arrangements.
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Policies, Procedures & Training
- Draft, review, and update compliance policies and manuals as required, manage the annual review of the Firm’s compliance policies.
- Support the delivery and coordination of compliance training for staff, including induction training and the completion and collation of annual Employee Certification Forms.
- Maintain and record compliance records and attestations.
- Prepare annual compliance reports (SYSC, MLRO etc).
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Requirements
- Degree or equivalent
- Professional compliance or regulatory qualifications (or progress toward them) (desirable).
- Previous experience in a compliance role, 3-6 years minimum within a UK financial services firm, ideally an investment manager.
- Strong understanding of UK regulatory framework, particularly MiFID II and AIFMD, FCA regulations and compliance frameworks.
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Skills
Compliance
Regulatory Obligations
FCA Requirements
MiFID II
AIFMD
Compliance Monitoring
Financial Promotions
Policies
Procedures
Training
Documenting Findings
Risk Assessment
Investment Management
Conflict of Interest
Best Execution
Outsourcing
Location