Compliance Associate (Asset Management)

  • £35,000-£40,000
  • London, England, United Kingdom
  • Permanent, Full time
  • Maldon Partners
  • 11 Jan 18 2018-01-11

Maldon Partners are recruiting a Compliance Associate on a permanent basis for an award winning Asset Management Firm based in the city. The firm has almost doubled its AUM over the past 18 Months and the role has been created due to this expansion

The Role

Maldon Partners are recruiting a Compliance Associate on a permanent basis for an award winning Asset Management Firm based in the city. The firm has almost doubled its AUM over the past 18 Months and the role has been created due to this expansion

The Role:

The purpose of the role is to work alongside the Head of Compliance in order to help take on responsibility for Compliance of the day to day activities of the firm.

Day-to-day responsibilities may include:

 

•Perform 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

 

Experience Required:

In order to apply for the role you will have:

•A minimum of 1.5years Generalist Compliance experience including monitoring and testing

•Graduate (undergraduate degree or equivalent) - Desired

•Knowledge of UK and International marketing regulatory environment within the asset management industry

•Institutional financial promotion experience

•Good attention to detail

•Good analytical skills

•Good Excel, Word, PowerPoint skills

•Strong interpersonal skills

Salary:

Salary on offer is c£35,000-£40,000 as a base depending on experience and is based in the City of London