Compliance Associate - EXCLUSIVE
- London
- £65,000 per year
- Permanent
- Full-time
- Support the SMF 16/17 in all investment compliance oversight activities.
- Assist with compliance monitoring activities, ensuring that relevant evidence, process and proposed enhancements are stored and executed appropriately.
- Ensure compliance policies are reviewed and updated on a regular basis.
- Provide input into fund compliance projects as required.
- Review breaches and operational errors, liaising with the Management Company to ensure satisfactory resolutions.
- Monitor PA dealing requests and Gifts and Entertainment.
- Review and approve financial promotions.
- Assist the team in the preparation of management information for Committee and Board reports.
- Assist the team in due diligence requests and audits.
- Assist the SMF17 in all areas of AML & Financial crime
- Adherence to consumer duty and ensuring good client outcomes.
- Previous compliance experience in an Asset Management, Fund Administration or Management Company environment necessary.
- Candidates with previous experience in an investment operations role looking to move to investment compliance may be considered.
- Experience of performing monitoring activities, audits or other forms of reviews.
- The candidate is expected to have good knowledge in the following subjects: MIFID II, UCITS and AIFMD requirements, AML and financial crime, fund and product governance, systems and controls, conflicts of interest, consumer duty.
- Candidates must have a high level of attention to detail.