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Senior Compliance Associate – Funds Compliance experience required

£55K - £7K + Benefits | London
Ref: 3692G2

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

 
 

Our client, a boutique wealth manager and part of a larger global banking Group, is looking to recruit a Senior Compliance Associate. Reporting to the Deputy Head of Compliance, you will assist with enhancing the compliance oversight framework and funds governance and duties will include;

• Attend Investment Management Operations Committee as alternate to the Deputy Head of Compliance / Head of Compliance as required.
• Assist in establishing and maintaining the risk-based compliance framework, with a focus on fund governance and oversight, to ensure adequate identification, assessment, communication and control of compliance risks.
• Escalate compliance risks to the Deputy Head of Compliance and / or Head of Compliance when necessary and as appropriate.
• Champion an effective compliance culture across the business, ensuring effective compliance across all areas of responsibility.
• Monitor developments in the wider financial services sector to develop an up to date knowledge and awareness of relevant issues and future trends and their likely impact on the company’s risk profile.
• Assist in the delivery of relevant reporting to inform the business of effective management of compliance and conduct risks.
• Assist with providing information to third parties when requested, such as to the regulator, government authorities, external and internal auditors.
• Draft and / or update Compliance owned policies and procedures and make recommendations to the business regarding updates to their policies and procedures as appropriate

The successful candidate must have gained compliance experience with a fund manager, a discretionary investment manager or with a consultancy where you have advised/worked with retail fund providers or discretionary investment managers.  While experience of Authorised Corporate Director (ACD) or exposure to funds governance would be advantageous as important will be your broader funds compliance experience.

This is an excellent opportunity to work with a successful, ambitious and growing investment house in an exciting and challenging role, working in and learning from an extremely knowledgeable and experience compliance team.   If you feel you have the necessary drive, experience and skills to be successful in this role then please contact please call Gary Collins on 020 7330 6960 or send your details to him at Gary@compliancerecruitment.com

 

 

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