Compliance Associate - Alternative Investments Compliance Associate - Alternative Investments …

Investigo Compliance
in London, United Kingdom
Permanent, Full time
Last application, 05 May 21
Competitive
Investigo Compliance
in London, United Kingdom
Permanent, Full time
Last application, 05 May 21
Competitive
Posted by:
Latiesha Uter • Recruiter
Posted by:
Latiesha Uter
Recruiter
An alternative investments firm are looking for a Compliance Associate to join their small compliance team. Broad role that offers great exposure!

Key responsibilities:

  • Conduct reviews of the compliance monitoring programme to assess the effectiveness of business controls and policies
  • Advising the business on compliance related issues
  • GABRIEL reporting and financial promotions
  • Preparation and submission of FCA applications to market and manage new funds
  • Investigate logs relating to personal account dealing, FCA breaches, complaints, gifts and hospitality
  • Assess KYC files and obtain necessary documentation to meet Money Laundering and JMLSG regulation

Successful candidates will have:

  • Previous compliance experience, ideally working for a buy-side business
  • Knowledge of AIFMD regulation
  • Excellent communication skills both written and verbal
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