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Compliance Associate
3 weeks ago
Rev & Regs are recruiting for a Compliance Associate role on behalf of an Investment Management firm, based in London.
While professional experience and qualifications are key for this role, make sure to check you have the preferable soft skills before applying if required.The successful candidate will require a technical understanding of equities, and fixed income markets, the trading of these instruments and the regulatory environment in which Asset Managers operate.
Responsibilities:
- Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. KYC, AML, CDD, Sanctions and Financial Crime reporting.
- SMCR – SMCR Compliance framework maintenance.
- Compliance Training - assist in the development and delivery of Regulatory training to the business.
- Monitoring and Surveillance - Conduct ongoing surveillance and thematic reviews (Mar - Market Abuse).
- Regulatory reporting – submission of Compliance reports to the FCA.
- MI – Produce high quality, Management Information regarding the status of the Compliance Monitoring Programme, AML statistics and other Compliance data.
- Review current policies, procedures, monitoring and controls.
- Regulatory implementation projects – assist the business by working with Compliance team to assist with the implementation of Regulatory changes.
Experience Required:
- 3-5 years Asset Management /Wealth Management Compliance experience.
- Strong technical knowledge – including a detailed understanding of FCA rules, SYSC, COBS, MAR, as applicable to a manufacturer of equity and fixed income funds and discretionary asset manager.
- Experience in implementing processes, controls, governance, and/or compliance activities for regulatory changes, new/changing business models, services/products, and/or technologies
- Technical /Analytical Proficiency – third party systems, MS PowerPoint, Excel, Word
Location: London
Start: ASAP
If you are interested, please apply today - /
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