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Compliance Associate - Asset Management

City of London Permanent £70,000 - £90,000 per year View Job Description
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.
  • Compliance Associate role within a boutique Asset Management firm
  • Compliance Monitoring, Market Abuse, Financial Promotions, Trade Oversight

About Our Client

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.

Job 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.

The Successful Applicant

  • 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).

What's on Offer

  • Competitive compensation package
  • Flexible working policy
  • Hybrid working policy
  • Strong bonus structure
Contact
Rob Cope
Quote job ref
JN-042025-6713012
Phone number
+44 207 776 5935

Job summary

Job function
Banking & Financial Services
Subsector
Compliance & Legal
Sector
Financial Services
Location
City of London
Contract type
Permanent
Consultant name
Rob Cope
Consultant phone
+44 207 776 5935
Job reference
JN-042025-6713012