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Job Specification

Compliance Associate – One Year Investment Management Compliance Experience Required

£35K - £38K + Bonus + Bens | West End
Ref: 3465J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our Client, a niche Investment Management Firm, is looking for a Compliance Associate to join their team and take responsibility for the Compliance Monitoring Programme (CMP).  Reporting to the Global Head of Compliance, duties will include;
 
• Ensuring that the CMP accurately reflects and tests for the compliance risks to which the business and its funds are exposed
• Conducting Best Execution on a regular basis, including interaction with the Investment Personnel to resolve any execution issues identified
• Conduct routine PA Dealing & Gifts monitoring and approval
• Undertake bespoke project work to enhance the Compliance Monitoring Programme
• Conducting Best Execution on a regular basis, including interaction with Investment Personnel to resolve any execution issues identified
• Identification and monitoring of other conflicts of interest
• Responsibility for maintaining compliance files in accordance with the UK/EU regulations, maintaining all requisite registers
 
The ideal candidate should have at least one year’s compliance experience from a similar firm.  Previous knowledge of Alternative Asset Management and or UCITS would be beneficial, but more important is your ability to communicate at all levels of the business.
 
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com

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