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
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
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