Our client is a specialist alternative asset manager, looking for an experienced Compliance Associate to be part of their expanding UK Compliance team.
THE RESPONSIBILITIES:
Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured
Assist in the development of policies and the establishment of reviews of procedures and policies where needed
Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvement
Be responsible for reviewing, recording and approving day to day compliance requests such as:
PA Dealing
Gifts and Benefits
Outside business interests
Assist the team by undertaking AML/KYC, identification and sanction screening checks were required
Assist the business by providing regulatory advice and guidance where required
Stay informed of regulatory developments and how they would impact on the business
Carry out other duties and projects as and when required in line with team objectives
Support the Compliance Manager and Head of Compliance in implementing regulatory change through the business
EXPERIENCE REQUIRED:
3-4 years’ experience within the Compliance function of an AIFM
Experience of AIFMD regulations
A good understanding of MiFID II and UCITS, SMCR and private equity
Excellent initiative and administration skills: proactively taking ownership of matters
Strong verbal and written communication skills: externally and internally, including managing expectations proactively
Excellent analytical and research abilities
For further information please contact Spencer Evans
