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Job Specification

Compliance Associate – Asset Management Experience Required

£50K - £60K plus Bonus & Benefits | City of London
Ref: 3826G

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

Our client, a leading Asset Manager, is looking for an experienced Compliance Associate to join their growing team. Reporting to the Head of Compliance and working within a dynamic and collegiate team this will be a broad and multi-faceted role. Duties will include;
  • Supporting the senior Compliance Managers with day-to-day compliance advisory matters.
  • Conducting Compliance Monitoring in accordance with the Compliance Monitoring Plan ensuring necessary remedial action is implemented.
  • Reporting monitoring and surveillance findings and escalating appropriately.
  • Assisting with preparation of all periodic reporting to committees and the board.
  • Assisting with policy reviews & changes and ongoing implementation
  • As part of the team assisting with record keeping and general compliance administration.
  • Assisting with review and approval of financial promotions.
  • Involvement with compliance focussed projects 
You must be a graduate who has gained at least 2 years Asset Management Compliance experience. While strong interpersonal skills and the ability to juggle multiple priorities effectively is important, as important will be your asset management systems knowledge and relevant FCA Regulatory knowledge and rules understanding.
Working as part of a dedicated and supportive team you will need to foster and develop professional relationships across the business.
This is an excellent opportunity to join a well-established business where the Head of Compliance promotes from within, and drive and commitment is encouraged and rewarded.  So, if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to
We are acting as an employment agency in relation to this role.  
Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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