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Job Description

Well established Equity Fund Manager is seeking a Compliance Associate to join their team


  • Conduct risk-based compliance monitoring as directed by the CCO, which involves identifying, assessing, monitoring, reporting, and resolving all significant compliance risks.
  • Assist the CCO in reviewing and maintaining the firm's compliance policies, including the Compliance Manual.
  • Ensure all marketing and client communications comply with relevant regulations.
  • Administer the Code of Ethics Policy, including PA dealing, gifts and entertainment, political donations, and outside business activities.
  • Perform initial and ongoing financial crime due diligence (AML/KYC) on the firm's clients.
  • Conduct PEP, financial sanctions, and negative news screening on clients, portfolio companies, and suppliers.
  • Administer online computer-based training modules to staff as directed by the CCO.
  • Assist in monitoring regulatory changes and developments and prepare related guidance for the business.
  • Manage the compliance-related elements of the firm's distributor due diligence process.
  • Manage all SMCR administration, including fit and proper assessments, certification, pre-employment and in-employment screening, and associated FCA Connect filings.
  • Perform other ad-hoc project work as directed by the CCO.

Required qualifications and experience:

  • Prior generalist compliance experience from asset management
  • University qualification or equivalent.
  • IOC/IMC or equivalent ideal

Apply or get in touch for more information!

Eames Consulting is acting as an Employment Agency in relation to this vacancy.