Compliance Associate, West End Based
Salary £50 - 65000 per annum
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.
- 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.
- 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)
PLEASE CONTACT TOM KENNEDY ON 02073370030 ASAP FOR FURTHER INFORMATION