Compliance Associate - Investment Management Compliance Associate - Investment Management …

Investigo Compliance
in London, England, United Kingdom
Permanent, Full time
Last application, 17 Jun 19
Competitive
Investigo Compliance
in London, England, United Kingdom
Permanent, Full time
Last application, 17 Jun 19
Competitive
An investment management business are building their compliance team and are looking to hire a Compliance Associate. This is a permanent role based in London.

Key responsibilities:

  • Advise the business accordingly on BAU activities and projects including product launches
  • Keep abreast of current and upcoming regulation and advise/communicate to the business accordingly
  • Review and update policies and procedures, enduring in line with regulation and business purpose
  • Maintain logd for the following: PA Dealing, breaches & errors, complaints, gifts & hospitality
  • Assist in the delivery of the Compliance Monitoring Programme including periodic tests of the effectiveness of policies and controls and assist with the development and enhancement of monitoring plan.

Successful candidates will have:

  • Relevant compliance experience ideally within an investment management firm
  • Knowledge of AIFMD regulation (preferable)
  • The ability to advise senior business stakeholders on a variety of compliance matters
  • Excellent communication skills, gravitas and an entrepreneurial spirit
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