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We are seeking an experienced and proactive Compliance Associate/ Manager to join our Compliance team
This role focuses on ensuring the firm meets its regulatory obligations, monitoring compliance, maintaining policies and registers, and supporting risk management initiatives
The successful candidate will be involved in a wide range of regulatory compliance and anti-money laundering matters, supporting the development of robust systems and controls, and ensuring that these evolve in line with regulatory developments and business needs.
Responsibilities
- Regulatory Registers & Reporting:
- Coordinate with internal stakeholders to ensure that all required filings and notifications are prepared accurately and submitted on time.
- Maintain the Global Regulatory Licensing and Global Regulatory Reporting registers.
- Support the Global Head of Compliance in the periodic review and implementation of compliance policies and procedures.
- Maintain accurate records and version control of approved policies, ensuring timely communication and implementation across the business.
- Conflicts & Conduct Oversight:
- Administer the firm’s Conflicts of Interest processes, including Personal Account Dealing, Gifts & Entertainment, Outside Business Activities and MNPI Registers.
- Monitor adherence to internal conduct rules and elevate any exceptions or breaches as appropriate.
- Support the execution of AML/KYC controls and client due diligence checks.
- Review marketing and client materials for compliance with applicable regulatory requirements.
- Execute the periodic Compliance Monitoring and Testing program, ensuring findings are documented and follow-up actions tracked.
- Assist in ongoing surveillance of trading, communications, and conduct matters.
- Coordinate the annual compliance training program, monitor completion rates, and follow up on overdue training.
- Support ad-hoc compliance awareness initiatives across the business.
- Regulatory Change & Advisory Support:
- Maintain the Regulatory Change Management Register and track relevant updates.
- Support impact assessment and implementation of required changes under the direction of the Global Head of Compliance.
- Ad-hoc & Administrative Support:
- Provide support for regulatory inspections, audits and internal reviews.
- Undertake other compliance-related tasks and projects as directed by the Global Head of Compliance.
Job Requirements
- Demonstrable generalist/focused experience in Compliance and AML matters (2 to 5 years), for a UK/US/European financial services regulated business, ideally within the asset management / private markets space.
- Experience with client onboarding, in particular AML/KYC checks, investor vetting and associated controls (e.g. conflicts management).
- Experience with reviewing marketing materials for institutional client base, ideally across multiple global jurisdictions.
What We Offer
- Benefits in line with market expectations and legal requirements.
- Flexible/hybrid working environment.
Seniority Level
Associate
Employment Type
Full-time
Job Function
Analyst
Industries
Investment Management and Venture Capital and Private Equity Principals
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