Senior Compliance Associate

Location
London
Salary
Competitive
Posted
22 Jul 2021
Closes
21 Aug 2021
Contract Type
Permanent
Hours
Full Time

Towers Watson Investment Management (Ireland) Limited (TWIMI) is the regulated by the Central Bank of Ireland as is authorised as an AIFM. Towers Watson Management limited acts as the Investment Manager (TWIM) to the AIFM and is authorised and regulated by the FCA, operating as a CPMI firm and AIFM with MiFID top up permissions. TWIM is also registered with the SEC as Investment Advisor. The firm currently is manager and investment manager to a range of Alternative Fund of Funds and Manager of Manager funds with circa $23bn under management.

The Role

The main responsibilities will be to assist the Compliance Officer for TWIMI and TWIM execute the Compliance Programme for the Funds business with specific responsibilities to be as follows:

 Provision of Advisory Compliance Support.

  • Management and completion of sign off of Financial Promotions.
  • Management of attestation processes, including the Approved and Access Person (SEC requirement) of the firm.
  • Review of issues and errors forms in conjunction with the risk team
  • Coordination of updates of relevant Compliance policies and registers of the firm in coordination with the Compliance Officer and relevant business unit.
  • Assist with delivery of Compliance Training.
  • Deal with BAU technical queries from the business on regulatory requirements in respect to the regulated activities of the business.

Support execution of the Compliance Monitoring Programme.

  • Undertake monitoring reviews in accordance with the Compliance Programme as required.
  • Completion of ongoing surveillance monitoring as required.
  • Tracking of actions points and recommendations to ensure timely implementation.

Support of Regulatory Reporting

  • Coordination and completion of periodic regulatory reporting requirements in the UK, Ireland, US
  • Completion of adhoc regulatory reporting as required

The Requirements

  • Needs sound knowledge of applicable regulations and have the ability to assess and provide clear and accurate guidance to the business.
  • Experience of working with Alternative Investment Funds (AIFs) and MiFID  preferable.  
  • Experience of SEC and US rules is useful but not essential
  • Proven ability to manage and prioritise demanding workloads, able to work autonomously and deliver reviews and tasks assigned to them
  • To be proactive and demonstrate tenacity in effectively supporting the team and promoting a Compliance Culture.
  • Excellent oral and written communication skills.

Equal Opportunity Employer

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