Compliance Associate – Alternative Asset Management firm

Compliance Associate

Alternative Asset Management firm

London (4 days in office, 1 day WFH)

£60K-£80K (depending on level of experience)

Permanent role

The Rol

• eSupport the maintenance and operation of the Firm’s compliance framework in line with the FCA requirements (including MiFID II, AIFMD, and FCA Handbook rules
• ).Assist with advising the business on regulatory obligations, policies and procedures, escalating issues where appropriat
• e.Undertake regulatory horizon scanning, producing written and verbal updates on relevant regulatory and enforcement actions, with an assessment of their impact on the Fir
• m.Support, implementation and execution of the annual Compliance Monitoring Programm
• e.Conduct compliance monitoring reviews, document findings and track remedial action
• s.Assist with the ongoing monitoring of financial promotions & marketing, conflicts of interest, personal account dealing, gifts and hospitality, best execution and inducements, PEP lists, outsourcing and third-party arrangement
• s.Policies, Procedures & Traini
• ngDraft, review, and update compliance policies and manuals as required, manage the annual review of the Firm’s compliance policie
• s.Support the delivery and co-ordination of compliance training for staff, including induction training and the completion and collation of annual Employee Certification Form
• s.Maintain and record compliance records and attestation
• s.Prepare annual compliance reports (SYSC, MLRO et

c)Requireme

• ntsDegree or equival
• entProfessional compliance or regulatory qualifications (or progress toward them) (desirabl
• e).Previous experience in a compliance role, 3-6yrs minimum years within a UK financial services firm, ideally an investment manag
• er.Strong understanding of UK regulatory framework, particularly MiFID II and AIFMD, FCA regulations and compliance framewor

ks….