Compliance Associate, West End Based

Salary £50 - 65000 per annum

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Compliance Policies and Procedures

  • Assist in the maintenance of compliance policies and procedures.
  • Providing advice to all departments on compliance with the Firm's compliance policies and procedures.
  • Assist in the preparation of compliance training to employees on the Firm's compliance policies and procedures and applicable regulatory obligations.
  • Support the Head of Compliance in identifying, responding to, and preparing for, regulatory change.
  • Assist in the oversight of GDPR requirements

Financial Crime Compliance

  • Supporting the Money Laundering Reporting Officer (MLRO) in countering the risk that the Firm might be used to further financial crime.
  • Provide support to the Front office teams in relation to AML/KYC

Compliance Monitoring Programme

  • Conduct compliance testing in accordance with the CMP and assist the Head of Compliance in the preparation of written reports for senior management and the Board.
  • Support the Head of Compliance in assisting the business areas with recommendations from CMP.

Marketing Compliance

  • Review and approve marketing materials promoting the Firm, its products and services for compliance with all applicable marketing/advertising rules.
  • Supporting the Head of Compliance in providing advice to Investor Relations and the Firm's Investment Professionals on cross-border marketing rules.
  • Assist and support front office in drafting the compliance responses to RFP's / RFI's / Research Papers and Due diligence requests.

Record keeping

  • Assist in the implementation and maintenance of the compliance system for approving personal account dealing, gifts & entertainment and outside business interests whilst investigating any items of interest and monitoring the Compliance management system.
  • Overseeing the compliance function record keeping in relation, but not limited, to:

o Gifts and entertainment;

o Annual staff attestations;

o Personal account dealing;

o Management meetings;

o Restricted lists;


  • Undertake other initiatives and projects as assigned.


Knowledge and Experience Required

  • A strong knowledge of regulations particularly the FCA handbook, AIFMD, MiFID, (minimum of 3 years of experience)
  • Compliance experience within AIFM and preferably Real Estate (Credit and/or Equity)
  • Experience in cross border business within the EU
  • An understanding of Luxembourg, UK, Guernsey, Irish regulations an advantage.
  • Critical problem-solving ability - knowledge and problem solving sufficient to make decisions on the information available.
  • Project management skills and the ability to multi-task with several projects / initiatives ongoing at one time
  • Team player and ability to work independently.
  • Professional Compliance / AML Qualifications are an advantage.
  • Good IT skills (including word, excel and powerpoint)