Compliance Associate

Compliance Associate

The Company:
Our client is a global asset manager providing investment advice to both institutional and individual investors worldwide.

Key Responsibilities:
• Investment Guideline Monitoring: Oversee investment guidelines and restrictions for UCITS funds and segregated mandates, including the review of guidelines for new accounts and products.
• Trade Review: Perform pre- and post-trade daily exception reviews for UCITS funds and segregated mandates to ensure compliance with investment restrictions.
• Trading Liaison: Work closely with Traders, Portfolio Managers, and the Portfolio Implementation team to address trading queries and approve trades.
• Market Soundings and Wall Crossings: Act as the gatekeeper for market soundings and manage wall crossings.
• Financial Promotions Review: Assist in the review and approval of RFPs and other financial promotions, primarily aimed at professional investors.
• Compliance Monitoring Programme: Support the implementation of the compliance monitoring programme, including reviews related to Best Execution/Fair Allocation, Market Abuse, Personal Account Dealing, Gifts & Business Entertainment, and Email Surveillance.
• Personal Account Trading: Oversee the approval, monitoring, and reconciliation of personal account trading activities.
• Code of Ethics Certification: Assist with the Quarterly and Annual Code of Ethics certification processes within the compliance team.
• Registers and Logs Maintenance: Maintain various compliance registers and logs, including those for breaches and errors.
• Short Reporting: Assist in producing daily short reporting and ensure compliance with the Transparency Directive for large holdings. Handle regulatory reporting submissions as required.
• Regulatory Returns: Support senior team members with the submission of FCA Reg Data returns.
• Regulatory and Audit Requests: Coordinate and collate information for requests from the FCA, other regulatory bodies, and auditors.
• AML/KYC Compliance: Respond to client and regulatory requests concerning Anti-Money Laundering (AML) and Know Your Customer (KYC) requirements.
• General Compliance Support: Provide support across all areas of the compliance programme as directed by the Head of Compliance.
• Policy and Procedure Maintenance: Assist in the review, updating, and maintenance of the firm's compliance policies and procedures.
• Management Information Reporting: Support the Head of Compliance with management information reporting. Experience Required:

• 2-4+ years of demonstrable experience in generalist compliance.
• Background in Financial Services is essential, with asset management experience preferred.
• Exposure to securities markets and a sound understanding of EU MiFID and UK regulatory frameworks.
• Ability to work effectively within a collaborative, small team environment.
• Knowledge of UCITS, COLL (or Central Bank of Ireland regulations), FCA Conduct of Business Rules, and SYSC is desirable.
• Experience with automated investment guideline monitoring systems is desirable.
For further information, please contact Spencer Evans.