Senior Compliance Associate

THE COMPANY:

Our client is a leading advisory firm, providing investment management services for individuals, families, charities and institutions.

THE RESPONSIBILITIES:

• Working with the Private Client team to on-board new clients, including conducting and documenting Customer Due Diligence.
• Compliance monitoring activity, covering applicable UK and US requirements.
• Regulatory reporting (for example, using the FCA GABRIEL system).
• Contributing to policy and procedure development, and maintenance of relevant compliance registers and documentation.
• Reviewing financial promotions and publications, including promotional material for the Funds and strategies.
• Reviewing suitability of private client portfolios.
• Preparing and assisting in the delivery of training and briefings.
• Supporting the business, providing advice and dealing with queries.
• Liaising with US colleagues in compliance and other areas, representing UK compliance in meetings.
• Assisting in the preparation of reports and committee papers.
• Participating in projects relating to new regulation and new processes.
• Product governance and support for the institutional team in respect of the UCITS funds.

EXPERIENCE REQUIRED:

• 2+ years of experience.
• Prior experience working in an asset management compliance role.
• Familiarity with UK regulatory requirements, including FCA rules, money laundering requirements and data protection.
• Knowledge of SEC requirements and other jurisdictions would be an advantage.
• Exceptional attention to detail, good interpersonal skills, and an orientation towards the achievement of team goals.
• Level 4 financial services benchmark qualification - e.g. Investment Management Certificate, or similar (qualifications in compliance, risk and/or money laundering) would be an advantage.
• Capable of prioritizing and executing multiple tasks and projects in a dynamic, deadline-oriented environment.
• Working knowledge of Microsoft Word, Excel and PowerPoint and a willingness to use ChatGPT and other AI tools.

For further information please contact Spencer Evans