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Compliance Associate

2 months ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is a global investment management firm headquartered in Europe. Some of their specialisms include secured loans, structured and private credit.

THE RESPONSIBILITIES:

  • Managing Code of Ethics classification and queries of all staff
  • Providing management information to the Firm’s Head of Compliance & Risk Committee on Code of Ethics violations
  • Reviewing Personal Account dealings for all staff
  • Reviewing Outside business interests and private placements of all staff
  • Managing the Firm’s Gifts and Entertainment log and responsible for approval of submitted G&E
  • Managing the Firm’s Compliance training programme (including conducting new starter training)
  • Responsible for managing the Firm’s FCA Certified & Senior Manager Fitness & Propriety programme (including FCA regulatory filings)
  • Managing the Firm’s FCA regulatory reporting calendar
  • Monitoring the Firm’s Voice Recording population for in scope staff
  • Being project lead on the Compliance team’s surveillance AI initiatives
  • Assisting the Compliance team on wall crossings on leveraged loans and bonds as part of the Firm’s market abuse controls
  • Assisting in the execution of reviews in the Firm’s risk-based monitoring & surveillance programme
  • Assisting in reviewing financial promotions/marketing

EXPERIENCE REQUIRED:

  • Knowledge of financial instruments, such as debt and equity
  • Skilled in MS Excel
  • Excellent analytical, organizational and problem-solving skills
  • Ability to communicate effectively with both internal and external stakeholders
  • Knowledge of FCA Senior Manager & Certified regime
  • Familiarity with compliance testing and Code of Ethics (PA Dealing, Gifts & Entertainment etc)

For further information please contact Duncan Jeffery