Maldon Partners are Recruiting a Compliance Associate for an award winning Fixed Income Asset Management firm based in London. The role has been created due to expansion and requires a candidate with previous experience of the approval of Financial promotions and Market Materials.
Maldon Partners are recruiting a Compliance Associate on a permanent basis for a leading Boutique Asset Manager based in London. The award-winning European firm focuses on Fixed Income and has c£20bn AUM.
This is a newly created role reporting directly to the Chief Compliance Officer.
Reporting to the CCO the role holder will be responsible for a wide range of tasks including but not limited to the below.
- 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
In order to apply for the Compliance Associate role you MUST have:
- A minimum of 2-3years previous generalist compliance experience gained within an Asset / Investment Management firm.
- Knowledge of UK and International marketing regulatory environment within the asset management industry, including cross border rules and requirements
- Institutional financial promotion experience
- Good Microsoft skills (word, excel, PowerPoint)
- Graduate (undergraduate degree or equivalent)
The Compliance Associate role has a base salary of c£50,000 - £65,000 depending on experience and is based in the City of London.
*Please note that only candidates who meet the above criteria will be contacted.