Compliance Assistant

£35 - £45k



Leading London Fund Manager whose services across the board makes them industry leaders. The company is great to work for and is the perfect opportunity for the right person.

SKILLS AND EXPERIENCE REQUIRED If you do not have the below skills you will not be considered

  • MUST HAVE experience within Asset Management or Investment Management sector
  • MUST HAVE Compliance Experience

If you do not have the above skills you will not be considered for this role.


Job role

As a Compliance Assistant you will be part of a small, customer facing team providing

support, advice and guidance both internally and externally. A key objective is to ensure

that our ARs/TDs understand and adhere to the regulatory framework under the FCA.

The ideal candidate will have worked in a compliance role within Asset Management for 1 to 2 years and demonstrate an understanding of the FCA regulatory requirements.

The following attributes are considered essential to this role:

  • Positive and enthusiastic character, self-motivated and willing to learn;
  • Team-orientated, collaborate well with colleagues, work independently and confidently to see tasks through to completion;
  • Proactive communication and approach, well organised with good attention to detail and an inquisitive mindset / desire to enhance systems and processes;
  • Previous experience of working in a compliance advisory and/or monitoring role (ideally in Asset Management);
  • Knowledge of AIFMD/UCITS and / or experience or involvement in compliance project management work (e.g. MiFID II, GDPR, SMCR) would be ideal;
  • Knowledge of AML/KYC requirements and/or onboarding of clients would be ideal;
  • Prioritisation skills and/or experience managing client demands; and
  • Proficient in Microsoft Office skills (Excel, Word, Powerpoint, Outlook, etc).

Summary of principal tasks:

  • Assisting with the on-boarding of new ARs/TDs to establish appropriate compliance infrastructures, seeking regulatory approvals and off-boarding where required;
  • Working with new ARs/TDs to develop and implement the necessary policies and procedures;
  • Assist with delivering the compliance monitoring programme including assisting with the preparation of quarterly review meetings with ARs/TDs.
  • Assist with reviewing financial promotions and answering ad hoc compliance queries from ARs/TDs.
  • Accurately maintaining records and registers.

For full information including a full job specification please contact Patrick Barnett in confidence on 02073370045 or email him at