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Compliance Associate- buy side
- This Compliance Associate role sits within a leading investment manager platform
- Firm also offers compliance services to its asset management and fund clients
About Our Client
This Compliance Associate- buy side role is based in London, information on the company:
The company provides ongoing support to over 200 clients and they also run our own in-house Private Equity and Investment Management strategies.
The company's clients are of institutional nature and range from specialised hedge fund managers to large asset management firms with well-established track records who utilise a board array of investment strategies such as: long only, long/short equities, global macro, credit, distressed, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.
Based in the London office, the Sr. Compliance Consultant will contribute to the team's interaction with compliance clients. The consultant will conduct periodical compliance reviews, manage a compliance monitoring program and ensure regulatory oversight of the assigned clients on a day to day basis.
- Manage the ongoing compliance monitoring plan
- Conduct periodic calls with clients of the firm to discuss compliance requirements for monitoring and documentation
- Perform a variety of special compliance projects and thematic reviews
- Collate compliance requests and articulate issues to the compliance committee for discussion
- Complete various client facing tasks, office visits and file reviews
- Assist the creation and review of various applications for authorization with the Financial Conduct Authority (FCA)
- Assist with reviews of financial promotions
The Successful Applicant
Bachelors degree (Law or Business preferred) or similar
Experience & Generic Skills:
- Advanced Microsoft Office skills: Word, Excel and Powerpoint
- Experience of working in an FCA compliance environment with a good understanding of the financial services industry
- Attention to detail: must be able to perform all work consistently to a high level of quality
- Time Management: must be able to manage own time on multiple ongoing projects effectively
- Effective client skills (verbal written and interpersonal communication skills)
- Strong listening and presentation skills necessary to understand, communicate with, and persuade a wide range of audiences
- Desire to work in a dynamic work environment
- To be a self-starter and team player with the ability to work on own initiative or as part of a team
This role will provide the successful candidate with an outstanding opportunity to further develop their career in compliance.
What's on Offer