Compliance Senior Associate Compliance Senior Associate …

MERJE Ltd
in London, United Kingdom
Permanent, Full time
Last application, 26 Jan 22
£45,000 - £65,000
MERJE Ltd
in London, United Kingdom
Permanent, Full time
Last application, 26 Jan 22
£45,000 - £65,000
Posted by:
Jake Kelly • Recruiter
Posted by:
Jake Kelly
Recruiter
MERJE are working with a leading outsourced international investment office which provides independent investment management advice to family offices, pension funds and large foundations with

Key Responsibilities:

  • Providing advice and guidance to the business on regulatory and compliance issues as required (such as MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance etc.).
  • Analysing and interpreting regulatory developments.
  • Conducting risk assessments and gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintaining and developing the CMP processes, tracking action items to resolution, following-up implementation of recommendations, writing reports including recommendations and providing appropiate management information on progress
  •  Ensuring the submission of regulatory returns to the FCA in a timely manner and responding to standard requests in a timely manner.
  • Maintaining the core compliance regulatory registers • Drafting and updating internal policies and procedures in line with regulatory developments.
  • Supporting the firm’s compliance with Anti-Money Laundering (AML) requirements.

 

Key Requirements: 

  • Experience of operating in a broad compliance role within the Wealth Management or Asset Management space with a good understanding of the regulatory enviroment. 
  • Ability to work with a large degree of independence, escalating issues when and if necessary.
  • Some experience in management is preferable.
  • Ability to prioritise, multi-task, and manage expectations and their time in a fast-paced environment with shifting demands.
  • Good organisational, research and project management skills.
  • Strong financial and business awareness
  • Legal background would be advantageous
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