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:

• Assist with compliance monitoring activities, recording evidence, reporting findings and proposing enhancements where appropriate.
• Review compliance policies and ensuring these are regularly updated.
• 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.
• AML & Financial crime
• Support the SMF16/17 and carry out any other duties as may reasonably be required.
• Adherence to consumer duty and ensuring good client outcomes.

EXPERIENCE REQUIRED:

• Previous compliance experience in a Fund Administration, Management Company or Asset Management environment necessary.
• 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.
• A proactive self-starter with the ability to work effectively in a busy and evolving environment.
• Preferably an IMC holder or relevant CISI Compliance exams achieved.

For further information please contact Duncan Jeffery