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Risk Management Associate

2 months ago


London, Greater London, United Kingdom Compliance Professionals Full time

About Compliance Professionals

We are a leading provider of compliance services to the financial industry, specializing in regulatory advice and risk management.

Job Summary

We are seeking a highly skilled Compliance Associate to join our team. The successful candidate will be responsible for managing compliance relationships with our clients, providing technical advice and guidance, and developing and implementing compliance policies and procedures.

Key Responsibilities

  • Manage compliance relationships with clients, including portfolio managers, research analysts, and the finance team.
  • Provide clear and consistent technical advice and guidance to colleagues on regulatory matters.
  • Develop, update, and implement compliance policies and procedures.
  • Prepare and maintain employee certifications in accordance with regulatory requirements.
  • Review the implications and impact of upcoming regulatory changes.
  • Assist in/lead on day-to-day compliance oversight and monitoring activities, including market soundings, management of the restricted list, and advising on guideline restrictions.
  • Provide compliance input into projects/initiatives, including new fund launches and other development initiatives.

Requirements

  • Prior experience in a compliance role within an asset management environment.
  • Strong relationship skills with the ability to engage proactively with clients and colleagues at all levels.
  • Good knowledge of regulatory rules as they apply to asset managers.
  • Understanding of the asset management industry and specific investment asset classes and products.
  • Attention to detail and accuracy, with the ability to work systematically to meet and maintain standards.
  • Good analytical skills, with the ability to think logically and resolve problems.