Compliance Assistant

  • Competitive Depending on Experience
  • London, England, United Kingdom
  • Permanent, Full time
  • One Ten Associates
  • 15 Jan 18 2018-01-15

A fantastic opportunity has come up with a growing multi billion dollar asset manager that is looking to grow its Compliance function. Currently 2 people in the team and looking to hire a 3rd person which is all due to growth and complexity of the firm and represent an exciting time to join the business.

Out client is looking to identify a key hire in the team which continue the support around the annual compliance monitoring plan.

Our client is ideally looking for compliance candidates that have some exposure (1-3 years) to the UK and International marketing regulatory environment within the asset management industry, including cross border rules and requirements,

The main tasks will include :

  • Performing monthly compliance monitoring to assess the adequacy of the Firm’s compliance with applicable regulations
  • Review all external client communications, including all financial promotions and cross border distribution material, and ensure compliance with applicable regulatory requirements and the Firm’s own communications policies
  • Periodically assist with the review and update of the Firm’s policies and procedures
  • Assist with the development and distribution of training programmes and ensuring that adequate training records are kept
  • Assist with project work as required