Compliance Associate

7 hours ago

London Area, United Kingdom Coopman Search and Selection | B Corp™ Full time

Coopman Search and Selection are delighted to be partnering with a leading multi-strategy hedge fund who have circa $8 billion AUM who are looking hire a Compliance Associate. This role will report directly into the UK Head of Compliance.


In this role you will be responsible for supporting the existing members of the London Compliance team. This person will be a key contributor in the day to day running of the compliance programme and also be involved in refining, improving and augmenting it as they grow.


Key Responsibilities:


  • Contributing to a comprehensive compliance monitoring program for our UK FCA regulated entity
  • Supporting the UK Head of Compliance in developing a compliance framework to support new products & new markets
  • Senior Managers and Certification Regime compliance, including associated recordkeeping, regulatory filings and managing the ‘fit and proper’ certification process
  • Monitoring MiFID 2 research and corporate access, and preparing materials for Research Committee meetings
  • Recordkeeping relating to best execution monitoring
  • Market sounding / wall crossing process, including associated recordkeeping
  • Share disclosure monitoring and filings
  • Trade release process
  • Expert network chaperoning
  • Gifts and Entertainment monitoring
  • Compiling and updating KYC materials


Experience Required:


  • 2-5 years compliance experience within the asset management environment
  • Experience across multiple asset classes
  • Experience with both FCA & SEC regulator preferred
  • Ability to work in a fast paced & demanding environment
  • Able to build strong relationships


For a confidential discussion or for further information, please get in touch with


As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.”

  • Compliance Associate

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionAbout the Role:The Compliance Associate will play a key role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Manage compliance relationships with the front office team, portfolio managers, research analysts, and the finance team.Provide technical advice and guidance to colleagues on...

  • Compliance Associate

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionAbout the Role:The Compliance Associate will play a key role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Manage compliance relationships with the front office team, portfolio managers, research analysts, and the finance team.Provide technical advice and guidance to colleagues on...

  • Compliance Associate – EXCLUSIVE

    4 weeks ago

    London Area, 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 staffProviding management information to the Firm’s Head of Compliance & Risk Committee on Code of Ethics...

  • Compliance Associate – EXCLUSIVE

    4 weeks ago

    London Area, 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 staffProviding management information to the Firm’s Head of Compliance & Risk Committee on Code of Ethics...

  • Compliance Associate – EXCLUSIVE

    3 weeks ago

    London Area, 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...

  • Senior Compliance Monitoring Associate

    21 hours ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to...

  • Senior Compliance Monitoring Associate

    19 hours ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to...

  • Compliance Associate

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful open-end investment fund based in the City. They are looking for a Compliance generalist with a development path to support the objectives and activities of the Compliance team. **THE RESPONSIBILITIES**: - Performing, supporting & enhancing monitoring and surveillance activities. - Managing, supporting and...

  • Compliance Associate

    4 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an award-winning investment management firm based in London. **THE RESPONSIBILITIES**: - Completion of daily and other periodic Compliance tasks; - Proving regulatory advice to the business - including transaction-specific and general Compliance guidance; - Work with business areas and other compliance team members to...

  • Senior Compliance Monitoring Associate

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will play a crucial role in ensuring the effective delivery of the annual compliance monitoring programme.Compliance Monitoring...

  • Senior Compliance Monitoring Associate

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will play a crucial role in ensuring the effective delivery of the annual compliance monitoring programme.Compliance Monitoring...

  • Senior Compliance Monitoring Associate

    2 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering Compliance Monitoring Programmes: Assist in the...

  • Senior Compliance Monitoring Associate

    2 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering Compliance Monitoring Programmes: Assist in the...

  • Compliance Associate

    4 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an expanding London-based investment management firm, specialising in distressed credit/special situations.THE RESPONSIBILITIES:Assist in managing the compliance relationships with the front office team, portfolio managers, research analysts and the finance team.Provide clear and consistent technical advice and guidance to...

  • Compliance Associate

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an expanding London-based investment management firm, specialising in distressed credit/special situations. THE RESPONSIBILITIES: Assist in managing the compliance relationships with the front office team, portfolio managers, research analysts and the finance team. Provide clear and consistent technical advice and guidance to...

  • Compliance Associate

    4 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an expanding London-based investment management firm, specialising in distressed credit/special situations.THE RESPONSIBILITIES:Assist in managing the compliance relationships with the front office team, portfolio managers, research analysts and the finance team.Provide clear and consistent technical advice and guidance to...

  • Compliance Associate

    1 day ago

    London Area, United Kingdom Coopman Search and Selection | B Corp™ Full time

    Coopman Search and Selection are delighted to be partnering with a leading multi-strategy hedge fund who have circa $8 billion AUM who are looking hire a Compliance Associate. This role will report directly into the UK Head of Compliance.In this role you will be responsible for supporting the existing members of the London Compliance team. This person will...

  • Compliance Associate

    1 day ago

    London Area, United Kingdom Coopman Search and Selection | B Corp™ Full time

    Coopman Search and Selection are delighted to be partnering with a leading multi-strategy hedge fund who have circa $8 billion AUM who are looking hire a Compliance Associate. This role will report directly into the UK Head of Compliance.In this role you will be responsible for supporting the existing members of the London Compliance team. This person will...

  • Compliance Associate

    3 weeks ago

    London Area, United Kingdom InterQuest Group Full time

    Compliance Officer – FX London, UKSalary: Up to £50,000Are you a driven compliance professional with a passion for the fast-evolving world of FX? Are you ready to take the next step in your career with a dynamic and growing company? I am seeking a motivated and detail-oriented Compliance Associate to join a London-based team. This is an excellent...

  • Compliance Associate

    3 weeks ago

    London Area, United Kingdom InterQuest Group Full time

    Compliance Officer – FX London, UK Salary: Up to £50,000 Are you a driven compliance professional with a passion for the fast-evolving world of FX? Are you ready to take the next step in your career with a dynamic and growing company? I am seeking a motivated and detail-oriented Compliance Associate to join a London-based team. This is an excellent...