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Compliance Associate - Investment Management - Permanent

  • Location London
  • Job-type Permanent
  • Reference LUTCompAssociate

An alternative investments firm are looking for a Compliance Associate to join their small compliance team. Broad role that offers great exposure!

Key responsibilities:

  • Conduct reviews of the compliance monitoring programme to assess the effectiveness of business controls and policies
  • Advising the business on compliance related issues
  • Support the senior compliance person on regulatory change projects
  • Preparation and submission of FCA applications to market and manage new funds
  • Investigate logs relating to personal account dealing, FCA breaches, complaints, gifts and hospitality
  • Assess KYC files and obtain necessary documentation to meet Money Laundering and JMLSG regulation

Successful candidates will have:

  • Previous compliance experience, ideally working within an investment management business
  • Knowledge of AIFMD regulation
  • A positive mindset and entrepreneurial spirit
  • Excellent communication skills both written and verbal