Compliance Generalist Asset Management

Investigo are supporting a boutique asset manager with recruiting an interim Compliance Generalist, the role will be for around 2-3 months, and the client is also open to temporary to permanent candidates.

The firm focuses on private debt and equity investments, they specialise on real estate and media sectors and have a deep industry expertise in these areas. As a result of this experience of AIFMD is key for this role.

You will be joining a small compliance team, directly reporting into the Head of Compliance.

They are currently working 2 days per week in the office and 3 days per week from home on a flexible basis.

The day rate is £400 per day inside IR35 via umbrella.

Duties include:

• Maintain all logs including financial promotion, breaches & errors etc.
• Assist in the delivery of new starter inductions and staff training
• Conduct Compliance Monitoring including periodic tests of the effectiveness of policies and controls
• Regulatory returns in Connect and GABRIEL for the group's regulated entities, including Annex IV reporting
• Review KYC and DD documentation
• Daily screening of AML alerts
• Review of financial promotion and marketing material
• Prepare and submit relevant applications and reports to the FCA
• Support the daily and ongoing Compliance activities

You must have a good understanding of AIFMD and MiFID to apply for this role.

We look forward to seeing your application.