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Compliance Associate

  • Location

    West End, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £35000 - £40000 per annum

  • Contact:

    Scott Duerden

  • Job ref:

    SDLTCA01_1570701372

  • Published:

    2 months ago

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.

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