Robert Half
Compliance Associate - Alternative Asset Management firm
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Compliance Associate - Alternative Asset Management firm
Compliance Associate
About the Role
Join our Alternative Asset Management firm in London as a Compliance Associate:
- Location: 4 days in-office, 1 day WFH
- Salary: £60K–£80K (depending on experience)
- Permanent role
This role supports the maintenance and operation of our FCA compliance framework, covering MiFID II, AIFMD, and FCA Handbook regulations.
Responsibilities
- Advise the business on regulatory obligations, company policies and procedures, and escalate issues where necessary.
- Conduct regulatory horizon scanning, including written and verbal updates on recent regulatory/enforcement actions, with impact assessments on the firm.
- Support the execution of the Annual Compliance Monitoring Programme.
- Conduct compliance monitoring reviews and track remedial actions.
- Monitor ongoing compliance areas, including:
- Financial promotions & marketing and conflicts of interest
- PEP lists, outsourcing, third-party arrangements
- PCAs, gift and hospitality, best execution & inducements
- Draft, review, and update compliance policies/manuals, ensuring annual policy reviews.
- Coordinate compliance training, induction, and annual Employee Certifications.
- Maintain and record compliance attestations and records.
- Prepare annual compliance reports (including SYSC, MLRO).
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Requirements
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- Degree or equivalent qualification in compliance, finance, or related field.
- Professional compliance/regulatory qualifications (or near-completion) (essential).
- Minimum 3–6 years of UK financial services compliance experience (ideally, Investment Management).
- Strong knowledge of:
- MiFID II, AIFMD, FCA regulations
- Industry compliance frameworks
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