Compliance Associate Compliance Associate …

Link Asset Services
in London, England, United Kingdom
Permanent, Full time
Last application, 01 Oct 19
competitive
Link Asset Services
in London, England, United Kingdom
Permanent, Full time
Last application, 01 Oct 19
competitive
The purpose of this role is to undertake and support regular compliance activities and monitoring, to advise the business on regulatory matters around the launch of new funds / changes to existing funds as well as on compliance policies and to monitor and assist with the implementation of regulatory developments.

Company Description

Link Asset Services is a fast growing, dynamic business with market leading positions across our areas of expertise – funds, market services, and banking and credit management services.  With offices across the UK and Europe we are part of Link Group who are headquartered in Australia.  A truly global organisation, Link Group provides us with a strong platform to realise our growth ambitions and continue to build on our success.

You can play a key part in this – at Link Asset Services we recognise the importance of supporting and developing our people, so we listen to colleagues, train our teams and invest in great working environments.  Add to that a culture that champions respect and integrity, a diverse and inclusive colleague base and a commitment to positively influence the communities we work with and you’ll get a flavour of life at Link.  At the bottom of this role advert, you’ll find more information on why you’ll enjoy working with us…



Job Description

The purpose of this role is to undertake and support regular compliance activities and monitoring, to advise the business on regulatory matters around the launch of new funds / changes to existing funds  as well as on compliance policies and to monitor and assist with the implementation of regulatory developments.

• Ensure the day-to-day activities of the Compliance Team including required sign-offs and approvals are undertaken in a timely manner (and as specified in the Compliance policies and procedures).
• Advise the business on regulatory matters around the launch of new funds and changes to existing funds (including liaison with the Product team and their communications with the Regulator/Depositary).
• Participate in the periodic review of fund documents such as Prospectuses and KIIDs
• Preparation and completion of regulatory reporting as required.
• Provision of advice and guidance to the business on Compliance policies and procedures.
• To assist with the implementation of regulatory developments.
• Build close working relationships with the different departments across the FS business.
• Assist and support the Senior Compliance Manager, Advisory & Policy (“SCMAP”) in the maintenance and the ongoing effectiveness and implementation of all compliance policies and procedures across the business.
• Assist and support the SCMAP in the ongoing maintenance, enhancement, development and operation of compliance training programs and activities for the UK entities so that they remain current and UK employees have appropriate compliance knowledge and awareness.
• Produce management information for governance committees and senior management, as appropriate, to demonstrate compliance or to highlight issues or trends where appropriate.
• Assist the SCMAP in providing reports and escalation of issues to the UK governance committees as required.
• Other regular and ad hoc matters as directed by the SMCAP (or the Compliance Director).



Qualifications


Required:
• Minimum of 2 to 3 years’ experience in asset management / investment funds compliance.
• Ability to establish and build business relationships.
• Good written and verbal communication.
• Good knowledge of UK regulation as applicable in an Investment Management business, particularly COLL, FUND and COBs.
• Educated to A level standard (or equivalent).

Desirable:
• Investment Management Certificate or Investment Operations Certificate.
• University level education.



Additional Information

Link Group’s purpose statement ‘Together we achieve’ reflects how much we value working together: with each other; with our clients; and with third parties, to help everyone achieve success – both personal and professional

We have an ongoing commitment to career progression, training and education as well as a competitive compensation and benefits package that under pins this.  

At Link, you’ll find we support achievement and celebrate success.  So, if you want to be a part of this, click the ‘I’m Interested’ or Apply button…

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