Compliance Assistant – Investment Management
Our client, the UK arm of a European Asset Management firm based in London, are looking for a Compliance Assistant to join their business in a generalist compliance role, 60% compliance monitoring focused & 40% on projects & ad hoc compliance duties. An excellent opportunity for a candidate looking for that next step up in their career whilst also gaining exposure to European regulations alongside FCA regulations.
- Perform a risk assessment with input from Legal & Compliance colleagues of the business on at least an annual basis to ensure that the Compliance Monitoring Programme covers key activities.
- Participate as required in the Client Take-On process for segregated mandate clients, and ensure that AML and KYC procedures are adhered to.
- Assist in development and documentation of policies and procedures where required
- Responsibility for collation and maintenance of records for PA Dealing
- Facilitate compliance training as identified and prioritised with Senior Legal & Compliance personnel
- At least 18 months compliance experience, with good experience of compliance monitoring.
- Investment management knowledge preferred.
- Strong interpersonal skills with the ability to work within a collegiate & entrepreneurial environment.
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