Compliance Associate, Asset Management
Salary £60,000 - £80,000 per annum + great bonus and top tier benefits
Location West EndFULL_TIME
Consultant Megan Craighead
Date posted 26 May 2022london banking-financial-services/compliance 2022-05-26 2022-07-25 financial-services West End London 11 Bressenden Pl GB SW1E 5BY GBP 60000 80000 80000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A leading hedge fund platform is looking to hire into their growing compliance team based in London. You will be reporting into the Head of Compliance and support the Compliance function focusing on matters related to FCA requirements at the Firm level and UCITS/AIFMD related topics for the Luxembourg registered Funds. The role benefits from a broad remit covering all regulatory and investment compliance tasks across the firm’s funds and investment strategies.
- Responsible for assisting with the execution of the thematic Compliance Monitoring Programme within the 2nd line of defence, including meeting with key stakeholders, evaluating risk and documenting testing.
- Ongoing input of oversight work and contributing to the Compliance Department's assessment of the regulatory risks faced by the firm
- Supporting the Head of Compliance with regards to regulatory change in the UK & EU and lead any related implementation projects.
- Assisting in the management of any onsite inspection visits and prepare the firm for potential FCA thematic reviews or inspections.
- Assisting with materials for Board meetings, committees and forums as required and preparing monitoring MI and dashboards
- Review notifications to Compliance, including but not limited to Gifts & Entertainment, PA Dealing and Conflicts of Interest and to challenge these as necessary
- Carry out surveillance tasks and reviews forming part of the monitoring programme
- Administer and review the firm’s policies and procedures to ensure compliance with the FCA handbook rules and Group requirements
- Review and approve marketing materials in accordance with the financial promotion rules and EU requirements
- Develop strong relationships across the business and Group and actively promote the firms core values and culture
- 5+ years compliance experience
- Educated to degree level or equivalent experience
- Held a compliance role in an Asset Management organisation.
- Good level of knowledge of UK regulatory requirements essential, covering topics such as Distributor and Investment Manager oversight and Financial Promotions
- Knowledge of UCITS/AIF platforms and CSSF in Luxembourg would be preferable. Experience with private markets a plus
- Advanced skills with Excel
- Highly organized with exceptional attention to detail and follow-through
- Team player with positive attitude and strong work ethic
- Capable of managing multiple business priorities with competing deadlines and to work effectively in a collaborative style in a fast paced, entrepreneurial environment
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