Well established Equity Fund Manager is seeking a Compliance Associate to join their team
Responsibilities:
- 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.
