Compliance Associate Compliance Associate …

Meredith Brown Associates
in London, England, United Kingdom
Permanent, Full time
Last application, 19 Feb 20
£Exc + Bonus & Bens
Meredith Brown Associates
in London, England, United Kingdom
Permanent, Full time
Last application, 19 Feb 20
£Exc + Bonus & Bens
Our client, a highly regarded boutique Asset Manager is looking to add to their Compliance team with the hire of a Compliance Executive. You will ideally have gained in excess of 3 years of experience with a compliance function of an investment management business.

Roles & Responsibilities

  • To implement the Compliance Monitoring & Surveillance Plan, including the monitoring of outsourced functions
  • To advise the business on the implications of current and future laws, regulations, codes and standards
  • To assist the Deputy Head of Compliance and the Chief Compliance Officer to manage the Groups’ compliance with the various regulatory rules, requirements and obligations
  • Undertake detailed thematic (internal and external) Compliance Monitoring reviews
  • Undertake various surveillance tasks as detailed in the Compliance Monitoring & Surveillance Plan
  • To provide front office advice and guidance around pre & post trade compliance controls.
  • To assist in new product launches and regulatory projects.
  • Responsible, along with the rest of the Compliance team, for completing the daily, weekly and monthly regular compliance tasks. This includes (but is not limited to) regulatory disclosures, incident & complaint analysis and third-party oversight meeting.
  • Review and update Compliance policies and procedures as required.

Background & Experience

  • The ideal candidate should come with 3 + years of Compliance experience, ideally from within the Asset Management arena.
  • Experience of Compliance Monitoring reviews required.
  • Good regulatory knowledge of the Financial Conduct Authority - other regulators also useful.
  • Good working knowledge of order management and trading systems ideal
  • Ideally degree educated and completed the IMC or a compliance focussed qualification.

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted

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