My Client, a leading investment firm based in Soho are currently seeking a proactive and diligent individual with a positive attitude to join the Compliance team as a Compliance Associate/Executive. This is an excellent opportunity for someone to apply their regulatory knowledge in a diverse and exciting investment environment in a full scope firm.

Key Responsibilities

• Maintain all logs including financial promotion, breaches & errors etc.
• Assist in the delivery of new starter inductions and staff training
• Conduct Compliance Monitoring including periodic tests of the effectiveness of policies and controls
• Regulatory returns in Connect and RegData for the group's regulated entities, including Annex IV reporting
• Review KYC and DD documentation
• Daily screening of AML alerts
• Review of financial promotion and marketing material
• Respond to ad hoc queries from the wider business
• Prepare and submit relevant applications and reports to the FCA
• Support the daily and ongoing Compliance activities

Individual Requirements

• Experience from a generalist compliance role is desirable
• Bright and hard-working individual who can work independently as well as part of a team
• A great attitude and willingness to learn and develop
• A genuine interest in compliance and the investment industry
• Knowledge of AIFMD and MiFID
• Ability to handle a varied workload and work within prescribed timelines