Compliance Generalist
2 weeks ago
**The Company**:
Maldon Partners are recruiting a Generalist Compliance role for an established Investment Management Firm based inthe West End.
Hybrid working (3 days in the office)
**The Role**:
The purpose of the role is to work in a generalist capacity alongside the Chief Compliance Officer in a small team of 3
Day-to-day responsibilities include:
- Portfolio reviews (Retail, institutional and UCITS)
- Monitoring (Best Ex, Market Abuse, Gifts and PAD)
- Horizon scanning
- FCA reporting
- Point of contact for UCITS Funds
- Updating policies and procedures
- ESG Obligations
- SEC Requirements (PAD, Code of ethics)
- Ad hoc projects
**Experience Required**:
- Previous compliance experience gained within an Asset / Investment Management Firm **ESSENTIAL**
- Strong knowledge of FCA rules and regulations
- Understanding of investment portfolios
- Excellent communication skills
- Professional qualifications such as CISI, ICA or equivalent **DESIRABLE**
**Salary**:
Salary on offer is c£65,000 depending on experience with excellent benefits and bonus package.
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