Legal & Compliance Associate – Fund Management

£60K-£70K + Bonus & Benefits
21 May 2019
20 Jun 2019
Contract Type
Full Time

A niche Investment Management firm is looking for a Legal & Compliance Associate to join their business in a broad and wide-ranging role covering generalist compliance duties alongside some Legal/Paralegal work.  An exciting opportunity for a dynamic & driven individual looking to make that next step in their career within a thriving business.

Main Responsibilities

  • Oversight of the preparation of regulatory reporting to the FCA & SEC Anti-Money Laundering checks
  • Implementing regulatory changes to compliance manual and policy documents as required
  • Perform day-to-day reviews determined by the Compliance Monitoring Plan, produce clear and timely reports highlighting areas of improvement and follow up action points raised
  • Monitor the performance and coverage of the compliance plan and make recommendations for adjustments/improvements
  • Working closely with external Compliance consultants to ensure any recommendations are implemented in a timely manner
  • Providing staff advice, training and support to ensure adherence to the firm’s compliance training programme
  • Involvement in project work as required, such as changes to legislation or business diversification
  • Providing regulatory support to the in-house Partner responsible for the documentation of new funds/products establishment

Job Requirements:

  • At least 3 years generalist Compliance experience or dual Legal & Compliance experience within a similar Investment Management business.
  • Law degree, LPC or similar qualification required.
  • Excellent verbal & written communication skills.

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