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Senior Compliance Associate

3 months ago

London, United Kingdom FS Talent Group Full time

Senior Compliance Associate (Generalist)

Wealth & Asset Management (Fixed Income, Equities & Alternatives)

Circa £10b AUM

London - Hybrid


Role Overview:

This wealth and asset management firm, that manages around £10 billion in AUM, is seeking an experienced Senior Compliance Associate. This role will encompass generalist compliance responsibilities while providing strategic advisory services across our investment offerings. The ideal candidate will bring deep regulatory knowledge and a proactive approach to supporting the firm's compliance framework.


Key Responsibilities:


Regulatory Compliance:

  • Ensure firm-wide compliance with UK and EU regulations, particularly FCA regulations, MiFID II, and AML/KYC requirements.
  • Oversee the firm's adherence to industry standards and implement necessary updates to compliance protocols.


Advisory Services:

  • Provide guidance to business units (portfolio management, trading, operations) on compliance matters affecting fixed income, equities, and alternative investments.
  • Assist on new product launches and regulatory changes.


Policy Management:

  • Develop, review, and maintain compliance policies and procedures, ensuring alignment with evolving regulatory standards.
  • Assist with the implementation of policy updates across the organization.


Monitoring and Reporting:

  • Conduct ongoing compliance monitoring and testing to identify and address potential risks.
  • Prepare detailed compliance reports for senior management and the board, highlighting key findings and recommendations.


Training and Development:

  • Design and deliver compliance training programs to ensure staff are knowledgeable about regulatory requirements and internal policies.
  • Foster a culture of compliance throughout the firm through continuous education and support.


Risk Management:

  • Perform compliance risk assessments, identifying areas of potential exposure and implementing mitigation strategies.
  • Collaborate with the Risk and Legal teams to manage and mitigate compliance-related risks.


Client and Regulatory Engagement:

  • Support the Head of Compliance with regards to regulatory inquiries, inspections, and audits.
  • Support the client onboarding process, ensuring compliance with AML/KYC standards.


Cross-Department Collaboration:

  • Work closely with Legal, Risk, and Internal Audit teams to ensure a cohesive approach to compliance.
  • Participate in cross-functional projects to enhance the firm’s overall risk management strategy.


Qualifications and Skills:

  • Experience: At least 3 years of compliance experience within the wealth and asset management sector.
  • Regulatory Knowledge: Extensive understanding of UK/EU regulatory frameworks, including FCA regulations, MiFID II, and AML guidelines. Knowledge of ESG regulations is a plus.
  • Competencies: Strong analytical skills with the ability to interpret complex regulations. Excellent communication skills and the ability to influence senior stakeholders.
  • Personal Attributes: Self-motivated, proactive, with a high level of integrity. Able to work both independently and collaboratively within a team.