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Compliance Monitoring Associate

Information About This Job

Job Title: Compliance Monitoring Associate
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: 12 months ago

Job Description

A leading asset management firm is looking to hire a Compliance Monitoring Associate to join their London based team.


Key Responsibilities

  • Serves as a trusted specialist for regulated activities. Participates or works to develop policies, procedures, and controls designed to ensure compliance with applicable laws and regulations.

  • Participates in compliance oversight efforts and projects across the company to protect the firm’s reputation. Looks for opportunities to continually improve the Compliance Program. Utilizes risk management techniques and business area knowledge to develop, maintain and test relevant policies and procedures. Handles multiple assignments simultaneously from conception through execution and implementation of recommendations. Coordinates, prioritizes and actively manages tasks as needed to meet deadlines.

  • Presents key findings and recommendations to business management and Compliance management. Elevates issues and identifies priorities. Tracks follow-up items to ensure they are appropriately resolved. Demonstrates initiative and creativity in recommending and implementing solutions to business contacts and Compliance management.

  • Fosters lines of communication between, and with, business contacts, the Legal Department, Compliance Department colleagues, and other control groups. Participates in activities and efforts as required with other Compliance teams and business partners.

  • Develops and maintains a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Stays abreast of current market, regulatory and industry relevant news. Serves as a technical expert on compliance requirements.

  • Prepares board reports and other applicable management reporting.

  • Participates in developing and delivering training and education to the business, including presentations at staff meetings and formal trainings.

  • Assists in responding to requests for information from regulators as needed. Participates in and actively supports corporate initiatives.

  • Participates in special projects and performs other duties as assigned.


Skills & Experience

  • Undergraduate degree or equivalent experience is preferred.

  • Minimum three years business experience. Regulatory, compliance, investment, or auditing experience preferred.

  • Broad understanding of business and the investment management industry; knowledge of and experience with

  • FCA, CBI and SEC regulations.

  • Excellent relationship management skills, including ability to interact with individuals at various levels.


Additional Information

The position is considered a "Fund Access Person" position under the Code of Ethics,; some travel, for trainings, seminars and global coordination, may be required.


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