Senior Compliance Associate Senior Compliance Associate …

CLARC Recruitment
in London, United Kingdom
Permanent, Full time
Last application, 24 Feb 21
GBP70000 - GBP90000 per annum + + Bonus & Benefits
CLARC Recruitment
in London, United Kingdom
Permanent, Full time
Last application, 24 Feb 21
GBP70000 - GBP90000 per annum + + Bonus & Benefits
Posted by:
Chris Clarke • Recruiter
Posted by:
Chris Clarke
Recruiter
CLARC Recruitment

We are recruiting for a leading Institutional Investment Management firm looking for a Senior Compliance Associate to join their team. This role will develop into a Deputy Head of Compliance position for the right individual.

Alongside a stable career background (ideally 3-4 years in last role), candidates must have excellent qualifications including a minimum 2.1 degree, alongside relevant Compliance experience within a similar business.

Main Responsibilities:

  • Responsible for co-ordinating and supervising the operation of the rolling risk based monitoring programme.
  • Supporting the Head of Compliance in the maintenance of a good working relationship with the FCA and assisting in the management of any onsite inspection visits.
  • Provide advice to the business with regards to relevant regulatory advice in the UK & US.
  • Responsibility for ensuring the risk framework reflects key company risks and take input from business quarterly and run updated reports for business.
  • Advising the business on regulatory matters on a daily basis.
  • Assist with Guideline Monitoring duties as and when required.
  • Carry out compliance projects as and when required.

Job Requirements:

  • At least 5 years Compliance experience working within an Institutional Investment Management business.
  • Strong knowledge of UK & US regulations, FCA & SEC.
  • Excellent qualifications, education & professional, with a minimum a 2.1 degree ideally from a top university.
  • Excellent analytical skills, good IT skills an additional bonus.
  • Excellent communication skills, both written & verbally.

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.

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