Our client, a Fund Management company based in the West End of London are looking to recruit a new Compliance Associate to join their expanding Compliance Department and business. You'll be working with the rest of the Compliance team to complete all daily/weekly/monthly tasks, including regulatory disclosures, and post trade monitoring, as well as involvement in the Compliance Monitoring Plan. Involvement in a wide range of tasks and projects including front office advice and oversight, investment guidelines and financial crime.

Main responsibilities of the Compliance Associate will include;

• Assist the Compliance Manager in completing daily/weekly/monthly compliance tasks
• Review regulatory disclosures
• Manage ethics processes, including PA Dealing and Gifts and Hospitality
• Assist the Compliance Manager in implementing the Compliance Monitoring Plan through surveillance tasks - including market abuse and best execution
• Assist the Compliance Manager in implementing the Compliance Monitoring Plan through thematic reviews - including external visits
• Review regulatory developments on a weekly basis
• Review financial promotions and other marketing documentation produced by the Marketing team
• Assist in maintaining Investment Guideline rules within the order management and trading system
• To assist the team in advising the business on the implications of current and future laws, regulations, codes and standards
• To review new broker arrangements

To be considered for the Compliance Associate position, ideal candidates must have the following experience and qualifications;

• Ideally degree qualified IMC or Compliance qualifications
• 1-2 years Compliance experience necessary
• Good regulatory knowledge - specifically the Financial Conduct Authority
• Knowledge of order management and trading systems would be useful.