Compliance Associate

4 days ago

London, Greater London, United Kingdom Compliance Professionals Full time
Job Description

About 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 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.
  • Provide compliance input into various projects and initiatives.


Requirements:

  • Prior experience in a compliance role within an asset management environment.
  • Strong relationship skills with the ability to engage with portfolio managers 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.


About Us:

Compliance Professionals is a leading provider of compliance services to the asset management industry.

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