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Compliance Associate

Information About This Job

Job Title: Compliance Associate
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: about 1 year ago

Job Description

We are on the hunt for an Experienced Compliance Associate to join a London based asset management firm. You will assist the Compliance Manager and Head of Legal & Compliance in all compliance and legal related functions.


About The Role

The successful candidate will be part of a Compliance team who are responsible for ensuring the company has the appropriate controls and procedures in place to ensure compliance with the UK, EU and US regulatory and legislative regime applicable to the activities of the company.


Key Responsibilities

  • Assistance with daily, weekly and monthly compliance tasks including review of market shares and fund checks.

  • Administrative work in relation to compliance including logging and recording personal account deals, assisting with clearing the central compliance e-mail inbox and monitoring and clearing investment restrictions.

  • Performance of ad-hoc work as required by the Compliance department, including reviewing, recording and clearing of compliance flags and warnings.

  • Providing support to other team members with research and investigations into queries.

  • Assist with the completion of activities in the Compliance Monitoring Programme.

  • Assistance with the compilation of management information.

  • Initial investigation into business complaints received.

  • Ensure Compliance policies and procedures remain up-to-date.


Skills & Experience

  • Teamwork and working on tasks with overarching goals.

  • Investigation and problem solving.

  • Multi-tasking and prioritising work.

  • Report writing.

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