Compliance Associate – Asset Management

THE COMPANY: Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.

THE RESPONSIBILITIES:

1. Assist with compliance monitoring activities, recording evidence, reporting findings and proposing enhancements where appropriate.
2. Review compliance policies and ensuring these are regularly updated.
3. Provide input into fund compliance projects as required.
4. Review breaches and operational errors, liaising with the Management Company to ensure satisfactory resolutions.
5. Monitor PA dealing requests and Gifts and Entertainment.
6. Review and approve financial promotions.
7. Assist the team in the preparation of management information for Committee and Board reports.
8. Assist the team in due diligence requests and audits.
9. AML & Financial crime
10. Support the SMF16/17 and carry out any other duties as may reasonably be required.
11. Adherence to consumer duty and ensuring good client outcomes.

EXPERIENCE REQUIRED:

1. Previous compliance experience in a Fund Administration, Management Company or Asset Management environment necessary.
2. Experience of performing monitoring activities, audits or other forms of reviews.
3. 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.
4. Candidates must have a high level of attention to detail.
5. A proactive self-starter with the ability to work effectively in a busy and evolving environment.
6. Preferably an IMC holder or relevant CISI Compliance exams achieved.

For further information please contact Duncan Jeffery.

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