Compliance Associate

THE COMPANY: Our client is a successful open-end investment fund based in the City. They are looking for a Compliance Associate to join the team - Buy-side generalist with 2-3 years experience. THE RESPONSIBILITIES:

• Supporting the delivery of high-quality regulatory advice to the Partnership for day to day and change activities across the key business areas including Investment, Client, Product, Distribution & Operations.
• Supporting the execution of the Compliance Monitoring and Surveillance Plan through performance of monitoring and surveillance activities.
• Managing, supporting and developing workflows and record keeping in respect of staff personal compliance obligations.
• Supporting the efficient operation of Compliance team frameworks including for anti-financial crime, training, reporting, regulatory change and regulatory policies.
• Supporting and participating in the activities for reviewing and approving financial promotions and account openings.
• Supporting the governance and administration activities in relation to the Partnership's regulated entities.
• Participating in other activities including for advisory, regulatory change, operations and anti-financial crime as mandated by the Head of Compliance. EXPERIENCE REQUIRED:
• Generalist/Monitoring experience in asset or wealth management
• Proactive and authoritative
• Excellent communication skills
• Strong UK regulatory knowledge
• Highly organised and detail-oriented For further information please contact Spencer Evans