The Role
This role offers genuine responsibility and visibility from day one, giving you the opportunity to own and deliver key compliance monitoring activities within a small, collaborative team.
You will gain exposure across a broad range of compliance disciplines, support an award-winning investment management division, and work closely with the Head of Compliance, contributing directly to Board reporting and regulatory outcomes.
It is an excellent opportunity to develop your expertise in a role where your work has clear impact and where learning and progression are actively supported.
Key responsibilities will include:
- Owning, developing and executing the compliance monitoring plan (including report production) to include thematic and desk-based reviews
- Administering and overseeing the provision of compliance training and policy rollouts via a 3rd party on-line provider
- Undertaking marketing material reviews to ensure they meet regulatory requirements
- M.I production for the Board to inform governance and decisions
- Assistance with regulatory reporting to ensure accurate and timely submissions
- Onboarding and induction of new starters
- Compliance procedure updates relevant to your areas of responsibility
- Regulatory horizon scanning
- Any other tasks as determined by the Head of Compliance
Experience & skills
- Circa 4+ years of experience within the Compliance department of an asset management firm
- Compliance monitoring experience is highly advantageous
- Experience of reviewing marketing material would be advantageous
- Industry qualifications (or working towards them) would be advantageous
- Attention to detail and accuracy of work
- Highly organised and able to manage multiple tasks simultaneously
- Reliable and keen to learn
- Strong written and verbal communication skills
The Role
This role offers genuine responsibility and visibility from day one, giving you the opportunity to own and deliver key compliance monitoring activities within a small, collaborative team.
You will gain exposure across a broad range of compliance disciplines, support an award-winning investment management division, and work closely with the Head of Compliance, contributing directly to Board reporting and regulatory outcomes.
It is an excellent opportunity to develop your expertise in a role where your work has clear impact and where learning and progression are actively supported.
Key responsibilities will include:
- Owning, developing and executing the compliance monitoring plan (including report production) to include thematic and desk-based reviews
- Administering and overseeing the provision of compliance training and policy rollouts via a 3rd party on-line provider
- Undertaking marketing material reviews to ensure they meet regulatory requirements
- M.I production for the Board to inform governance and decisions
- Assistance with regulatory reporting to ensure accurate and timely submissions
- Onboarding and induction of new starters
- Compliance procedure updates relevant to your areas of responsibility
- Regulatory horizon scanning
- Any other tasks as determined by the Head of Compliance
Experience & skills
- Circa 4+ years of experience within the Compliance department of an asset management firm
- Compliance monitoring experience is highly advantageous
- Experience of reviewing marketing material would be advantageous
- Industry qualifications (or working towards them) would be advantageous
- Attention to detail and accuracy of work
- Highly organised and able to manage multiple tasks simultaneously
- Reliable and keen to learn
- Strong written and verbal communication skills
…