Compliance Associate - Asset Management

Covering a variety of areas to ensure that the organisation conducts business in a compliant manner in accordance with FCA, SEC, AMF and FINMA rules, company policies and procedures. This will include reviewing policies and ensuring compliance with; Anti Money Laundering risks, Anti-bribery and Corruption risks, Market Abuse risks, mis-selling and Financial Promotions rules and Conduct of Business rules applicable to the business.

Client Details

Our client is a specialist active investment management company offering professional and institutional investors a range of fundamentally research-driven funds diversified by asset class, geography and sector specialisation.

Description

• Ongoing review and enhancement to the Compliance Monitoring Program, controls and monitoring and working with management and desk heads on controls.
• Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.
• Review of financial promotions in line with FCA COBS rules and other jurisdictions where funds are registered (EU, US and globally)
• Trade oversight, market abuse monitoring, and long/short disclosures internationally.
• Ensure that policies, procedures and standards of conduct are updated in line with regulatory changes, communicated, understood and appropriately implemented within the office; deliver training as required.

Profile

• 5+ years' experience within the investment management industry (or similar) in a compliance or operational risk role.
• Self-starter with strong execution focus and ability to work independently as well as part of a team.
• Good business acumen to identify and connect compliance risks across the organisation.
• High level of attention to detail.
• Good organisational and communication skills (both written and verbal).

Job Offer

• Competitive compensation package
• Flexible working policy
• Hybrid working policy
• Strong bonus structure