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Compliance Associate - Investment Management - Permanent
- Posted 09 December 2019
- Salary Negotiable
- LocationLondon
- Job type Permanent
- ReferenceLUTCompAssociate_1575967084
- Contact NameLatiesha Uter
Job description
An alternative investments frim 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