Compliance Associate – EXCLUSIVE

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:

• Support the SMF 16/17 in all investment compliance oversight activities.
• Assist with compliance monitoring activities, ensuring that relevant evidence, process and proposed enhancements are stored and executed appropriately.
• Ensure compliance policies are reviewed and updated on a regular basis.
• 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.
• Assist the SMF17 in all areas of AML & Financial crime
• Adherence to consumer duty and ensuring good client outcomes.

EXPERIENCE REQUIRED:

• Previous compliance experience in an Asset Management, Fund Administration or Management Company environment necessary.
• Candidates with previous experience in an investment operations role looking to move to investment compliance may be considered.
• 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.

For further information please contact Duncan Jeffery