Compliance Associate

20 hours ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is a global investment management business based in London. They are looking for a Compliance Associate to join the thriving team.

THE RESPONSIBILITIES:

  • The main focus of the Compliance Associate role is to support the Chief Compliance Officer (CCO") and MLRO to manage the regulatory compliance function in the Business.
  • Staying abreast of relevant regulatory changes, including but not limited to the FCA and other relevant regulators, that impact the Business
  • Working with the CCO/MLRO to assist the Business in maintaining adequate systems and controls to prevent the Business being used in the furtherance of financial crime, including but not limited to money laundering, counter terrorism, market abuse, and bribery;
  • Assisting in the development and delivery of relevant and timely compliance training throughout the Business
  • Process management support including CDD/KYC and AML checks; oversight of documentation including with service providers, record keeping and filing
  • Work with the CCO to implement proportionate and effective system and control changes in light of changing law or regulation;
  • Work with the CCO to keeping the LLP and senior management abreast of industry trends and issues, interpret the impact of regulatory change, and anticipate areas of focus and attention of regulators
  • Preparing and delivering regular reporting to senior management;
  • Providing input and contribute to corporate projects and product design; and
  • Providing ad hoc advice to stakeholders, as required.
  • Help build a Risk Matrix of relevant risks and controls for the LLP and the group;
  • Help build and implement a relevant and risk-based global compliance monitoring programme, and ensuring its timely fulfilment and reporting;
  • Work with the CCO to review and monitor market
  • Liaising with relevant entities for regional compliance reporting for Business operating entities;
  • Regular review and updating of, compliance policies where required;
  • Ensuring regional alignment with compliance policies, compliance implementation and monitoring;
  • Review and approve employee compliance tasks including personal account trading, Gifts and Entertainment etc; and escalate breaches of policies and regulations where required;
  • Ensure compliance folders are up-to-date and assist with compliance document filing and log completion on the relevant compliance register;
  • Ensure meetings are appropriately minuted;
  • Liaise with 3rd parties and internal stakeholders to ensure compliance reports are accurately completed and provided to the Business.

EXPERIENCE REQUIRED:

  • 3 + years professional experience in Compliance (preferably in private markets/asset management/finance – some experience in public markets).
  • Excellent IT skills (MS Office; Excel).
  • Excellent communication skills both written and verbal
  • Ability to build positive working relationships and to obtain buy-in
  • Excellent attention to detail

For further information, please contact Duncan Jeffery

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