Compliance Associate – EXCLUSIVE
2 weeks ago
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
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