Compliance Associate

My client, an asset management firm are seeking a self-motivated, driven individual who has relevant compliance qualifications and 3-5 years' experience in Investment Business Compliance.


My client, an asset management firm are seeking a self-motivated, driven individual who has relevant compliance qualifications and 3-5 years' experience in Investment Business Compliance.

Key Responsibilities:

* Assist the CO to meet FCA and SEC regulatory compliance requirements including AIFMD obligations and adhere to all other applicable overseas regulatory requirements.
* Assist the CO to conduct duties as MLRO, ensuring that the firm's anti-Money Laundering procedures are regularly reviewed and updated as appropriate.
* Report any issues of compliance to the CO as quickly as possible, in particular any breaches.
* Develop and maintain the Compliance Manual.
* Assist the CO to organise compliance training for all partners and staff.
* Assist the CO to compile compliance related responses for RFPs/DDQs
* Liaise and develop working relationships with parent group compliance department including regular reporting requirements via the Ascendant Compliance web portal.
* Monitor regulatory sanctions and implement where appropriate.
* Monitor group and company conflicts with staff.
* Work with external compliance advisors on ad hoc matters and projects.

* Review pre-& post trade portfolio investment guidelines and restrictions reports in think Folio to check for warnings or breaches.
* Compliance review and approval of marketing presentations.

* Review post trade compliance mandate checks reports produced by Operations team.
* Review financial promotions to ensure their compliance with COBS.

* Assist CO to prepare monthly Compliance Report to submit to Parent Company.
* Prepare monthly client compliance related certifications.
* Prepare monthly AML reporting and submit to Ontario Securities Commission.
* Update FinScan client list for OFAC Screening purpose.
* Update counterparty credit ratings for Risk Management purposes.
* Analyse and report findings on best execution as per Mifid II guidelines.
* Prepare and document the compliance monitoring programme including testing. Submit to CO for review and approval.
* Assist CO to check FCA Financial resource requirements are being met.
* Assist CO to review and approve monthly commentary for all strategies.

* Assist to carry out FCA filings, including populating information for Annex IV reporting.
* Prepare monthly 13F holdings filing and submit to SEC.
* Review and approve quarterly Presentation and Factsheet.
* Assist the CO to respond to quarterly Client/Consultant questionnaires and attestations.

Semi Annual & Annual
* Assist the CO to carry out FCA filings, including for Annex IV and financial reporting.
* Assist the CO to carry out SEC filings, including Annual ADV (Part 1 and 2) and Form PF.
* Assist the CO to respond to annual Client/Consultant questionnaires and attestations.

* Review all manuals and documentation of procedures on an on-going basis with CO to ensure that they are appropriate and up-to-date and reflect current best practice, as far as is practical.
* Assist the CO with ad hoc business projects as directed (e.g. setting up new funds).
* Attend compliance seminars and conferences as appropriate.

Candidates - Preferred Attributes And Abilities
* Display self-motivation and drive by looking to improve compliance standards within the business areas.
* Excellent level of English language.
* Excellent communication skills (both verbal and written).
* Good level of knowledge of FCA, SEC and EU (e.g. Mifid II) regulatory requirements.
* Educated to degree level or equivalent (2.1 minimum).
* Relevant Compliance Qualification or law degree.
* Minimum 3-5 years' experience in investment business compliance.
* Ability to work within a team as well as independently.
* Ability to work to tight deadlines. * Ability to raise and communicate complex issues accurately and succinctly to personnel at all levels.

  • GBP50000 - GBP60000 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2018-07-12
London, England, United Kingdom London England GB